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This week, for instance, the House passed a bill to chuck out the SEC's oddball custody interpretation (known as SAB 121) with the support of 21 Democrats—whose average age is nearly half that ...
The Securities Exchange Commission (SEC) released a risk alert related to Regulation Best Interest (Reg BI) in order to highlight deficiencies noted during examinations conducted, as well as ...
Eleanor Terrett. April 29, 2024 at 9:00 AM. EXCLUSIVE: The Securities and Exchange Commission and its chairman, Gary Gensler, appear to have believed for at least a year that the second largest ...
On Monday, a federal judge took the unprecedented step of imposing sanctions on the Securities and Exchange Commission related to a lawsuit the agency brought against the Utah-based crypto company ...
v. t. e. The U.S. Securities and Exchange Commission ( SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. [2] [3] [4] The primary purpose of the SEC is to enforce the law against market manipulation. [5] [6] : 2. In addition to the Securities Exchange Act of 1934 ...
On February 21, 2023, the United States Securities and Exchange Commission (SEC) charged the Church of Jesus Christ of Latter-day Saints (LDS Church) and its non-profit investment arm, Ensign Peak Advisors (EP), for failing to disclose the LDS Church's investments, and instead creating shell companies whose purpose was to obscure the church's portfolio.
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related to: sec news alerts this week