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Posts Tagged Exchange Commission

[Overseas finance NOW] J.P. Morgan Securities pays $ 1.5 million to Securities and Exchange Commission for stock class violation

[Overseas finance NOW] J.P. Morgan Securities pays $ 1.5 million to Securities and Exchange Commission for stock class violation

27 January 2020 | 9:00 am Did not disclose important information to customers that would impair returns Did not offer sales commission waivers or lower fee stock classes to individual retirement account or charity customers. U.S. Securities and Exchange Commission claims $ 1.5 million civil sanctions against […]

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[Overseas financial NOW] US Securities and Exchange Commission pushes forward plan to expand definition of authorized investors

[Overseas financial NOW] US Securities and Exchange Commission pushes forward plan to expand definition of authorized investors

3 January 2020 | 3:00 am New independent category added for companies investing more than $ 5 million Specifically, the target entities will be expanded based on the investment assessment. The Securities and Exchange Commission has proposed amending the definition of a certified investor to extend eligible […]

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[Overseas finance NOW] Securities market faces multiple challenges, experts warned at US Securities and Exchange Commission

[Overseas finance NOW] Securities market faces multiple challenges, experts warned at US Securities and Exchange Commission

21 December 2019 | 9:00 am ‘Climate change’ and ‘Cyber ​​risk’ are areas of greatest concern regarding capital market risk Challenges raised by experts at a meeting held by the US Securities and Exchange Commission in Washington include issues such as the ongoing US-China trade war, US […]

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[Foreign financial NOW] US Securities and Exchange Commission approved additional non-transparent ETF strategy

[Foreign financial NOW] US Securities and Exchange Commission approved additional non-transparent ETF strategy

5 December 2019 | 3:00 am The advent of new types of ETFs highlights the “big evolution” of the ETF market The strategies of “Fidelity”, “T. Rowe Price”, “Natixis” and “Blue Tractor” were pre-approved by the agency. As many ETFs do, prepare for the possibility of flooding […]

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[Overseas Financial NOW] US Securities and Exchange Commission charges $ 1.5 million for Morgan Stanley's miscalculation

[Overseas Financial NOW] US Securities and Exchange Commission charges $ 1.5 million for Morgan Stanley's miscalculation

28 November 2019 | 3:00 am Morgan Stanley has agreed to pay $ 1.5 million to the Securities and Exchange Commission . According to SEC orders, from July 2009 to December 2016, Morgan Stanley will offer its customers the lowest cost mutual fund stock class in the […]

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[Overseas Financial NOW] US Securities and Exchange Commission disapproved Bitwise Bitcoin ETF

[Overseas Financial NOW] US Securities and Exchange Commission disapproved Bitwise Bitcoin ETF

1 November 2019 | 3:00 am Bitcoin ETFs will be difficult to approve, but the undeveloped part is so big that this trend will continue According to the researcher at Bitwise, the company will continue to consult with the SEC and reapply at the appropriate time. The […]

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Infosys’ board and the U.S. Securities and Exchange Commission alleging that the…

Infosys' board and the U.S. Securities and Exchange Commission alleging that the...

Mon Oct 21 14:47:48 +0000 2019 Infosys’ board and the U.S. Securities and Exchange Commission alleging that the company was taking “unethical” steps to boost short-term revenue and profit. In New York Stock Exchange ADR Infosys fall to near 15% now tomorrow there will down for Infosys […]

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[Now, overseas financial professionals] Should the US Securities and Exchange Commission relax its quarterly reporting requirements?

[Now, overseas financial professionals] Should the US Securities and Exchange Commission relax its quarterly reporting requirements?

3 September 2019 | 9:00 am Should listed companies continue to publish quarterly 10-Q financial reports, as they have done for nearly 50 years? Or is it just enough to reduce the reporting frequency? This is a question from the US Securities and Exchange Commission , which […]

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Clarification of digital asset management by Securities and Exchange Commission, financial industry regulators and brokers

Clarification of digital asset management by Securities and Exchange Commission, financial industry regulators and brokers

21 July 2019 | 3:00 am In response to questions from market participants, the Securities and Exchange Commission and the Financial Industry Regulatory Authority issued a joint statement Monday clarifying the stocking of digital asset securities by brokers and dealers. The SEC’s Trading Market Division and FINRA, […]

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The Securities and Exchange Commission takes action to diversify as the value of FAANG shares increases

The Securities and Exchange Commission takes action to diversify as the value of FAANG shares increases

16 July 2019 | 9:00 am The US Securities and Exchange Commission announced that it would apply no action relief to ensure that index funds are not decentralized as a result of market changes in the underlying index component. According to Cipperman Compliance Services, “If the underlying […]

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