Category Archives: SEC News

SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan

The Securities and Exchange Commission today voted to propose amendments to the national market system plan governing the Consolidated Audit Trail (the “CAT NMS Plan”).  The proposed amendments to the CAT NMS Plan would require self-regulatory… from Press Releases https://ift.tt/2A7vVqA via IFTTT

Chandler Smith Costello Named Deputy Director for Public Affairs

The Securities and Exchange Commission today announced Chandler Smith Costello has been named Deputy Director for the Office of Public Affairs. Costello comes to the SEC from the Office of Senate Majority Whip John Thune where she served as his… from Press Releases https://ift.tt/2HUdUR0 via IFTTT

SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies

The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and pay $20 million in penalties to settle charges that it failed to implement… from Press Releases https://ift.tt/2zSYkko via IFTTT

SEC.gov: John F. Thomas, Thomas Becker, Douglas Martin, Paul Hanson, Damian Ostertag, Einstein Sports Advisory, LLC, QSA, LLC, Vegas Basketball Club, LLC, Vegas Football Club, LLC, Wellington Sports Club, LLC, Welscorp, Inc. and Executive Financial Services, Inc.

SEC Charges Sports Betting Investment Scheme Operators with Fraud from SEC.gov Updates: Litigation Releases https://ift.tt/2MUakua via IFTTT

SEC Names Monique Winkler as Associate Regional Director in San Francisco Office

The Securities and Exchange Commission today announced that Monique C. Winkler has been named Associate Regional Director for enforcement in the San Francisco Regional Office.  Ms. Winkler succeeds Erin E. Schneider, who became Regional Director of… from Press Releases https://ift.tt/2Zuoc5f via IFTTT