参考资料 https://www.sec.gov/news/press-release/2022-206https://www.sec.gov/files/sec-2022-agency-financial-report.pdf#chairmessagehttps://www.sfc.hk/-/media/files/ER/Annual-Report/21-22/annual-report-21_22-full_c.pdf?rev=29902bf3208d415f9907cb8bed1ef3e9原文链接 第五届PANews年度评...
https://sec.gov/files/sec-2022-agency-financial-report.pdf#chairmessage…https://sfc.hk/-/media/files/ER/Annual-Report/21-22/annual-report-21_22-full_c.pdf?rev=29902bf3208d415f9907cb8bed1ef3e9 免责声明：本文不构成投资建议，用户应考虑本文中的任何意见、观点或结论是否符合其特定状况，及...
参考资料 https://www.sec.gov/news/press-release/2022-206https://www.sec.gov/files/sec-2022-agency-financial-report.pdf#chairmessagehttps://www.sfc.hk/-/media/files/ER/Annual-Report/21-22/annual-report-21_22-full_c.pdf?rev=29902bf3208d415f9907cb8bed1ef3e9原文链接...
The Securities and Exchange Commission (SEC) Division of Enforcement published itsannual report for fiscal year 2019. The report shows it brought 862 enforcement actions, obtained $4.3 billion in disgorgement and penalties, and returned $1.2 billion to harmed investors, with the last two totals repr...
SECURITIESANDEXCHANGECOMMISSION 17CFRPART241 [RELEASENOS.33-8810;34-55929;FR-77;FileNo.S7-24-06] CommissionGuidanceRegardingManagement’sReportonInternalControlOver FinancialReportingUnderSection13(a)or15(d)oftheSecuritiesExchangeActof 1934 AGENCY:SecuritiesandExchangeCommission. ACTION:Interpretation. SUMMARY...
collaborate to address acute digital assets risks facing consumers, investors, and businesses. In addition, agencies are encouraged to share data on consumer complaints regarding digital assets—ensuring each agency’s activities are maximally effective.The Financial Literacy Education Commission (FLEC) ...
collaborate to address acute digital assets risks facing consumers, investors, and businesses. In addition, agencies are encouraged to share data on consumer complaints regarding digital assets—ensuring each agency’s activities ...
The U.S. Securities and Exchange Commission (SEC) is a federal agency responsible for regulating the securities industry.
The Division of Enforcement of the U.S. Securities and Exchange Commission (SEC), the agency's largest, discovers, investigates, and prosecutes federal securities law violations.1The division is crucial for domestic markets and is widely seen as the most critical financial watchdog worldwide. ...
paid $550 million, then the largest penalty ever for a Wall Street firm and the second-largest in SEC history, exceeded only by the $750 million paid byWorldCom.2122Given the wounds to the economy, many in the public criticized the agency for not doing enough to bring those responsible to...