The SEC was established 80 years ago on June 6, 1934, when President Franklin Delano Roosevelt signed the Securities Exchange Act of 1934 into law. The SEC's mission then and now is to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. Here's a look back at the events of 1934 and … Continue reading SEC Celebrates 80th Anniversary
SIFMA Tech 2014 convened industry leaders, regulators and solution providers to explore pressing industry issues and their solutions. The event offered critical updates and expert outlooks that will help you achieve a technological infrastructure that facilitates operating efficiency and promotes sound risk management.
Regulatory Notice 14-25 FINRA Announces Updates of the Interpretations of Financial and Operational Rules Executive Summary FINRA is updating the imbedded text of Securities Exchange Act (SEA) reporting rules for broker-dealers in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the SEC adopted. The updated imbedded text relates to SEA … Continue reading FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Washington D.C., June 25, 2014 — The Securities and Exchange Commission today adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The new rules will be key to finalizing the remaining proposals. The rules and guidance explain when a cross-border transaction must be counted toward the … Continue reading SEC Adopts Cross-Border Security-Based Swap Rules
Release Date: June 25, 2014 Contact: Carol Danko, 202.962.7390, cdanko@sifma.org SIFMA Statement on SEC Approval of Cross-Border Swaps Rules Washington, D.C., June 25, 2014 - SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO following the Securities and Exchange Commission's unanimous decision to adopt cross-border security-based swaps rules and … Continue reading SIFMA Statement on SEC Approval of Cross-Border Swaps Rules