In the case of a CD, you'll need to commit to leaving your money alone for a set term. With savings accounts and MMAs, Regulation D normally limits you to six "convenient" transactions a month. Not to be confused with the SEC's securities-related Regulation D, th...
What is the SEC's Regulation SCI? The SEC created Regulation Systems Compliance and Integrity (Regulation SCI) in 2015. It's a set of rules that track thesecurityand other technical capabilities of U.S. securities markets. Regulation SCI came about in response to securities markets' increasing ...
MMAs, Regulation D normally limits you to six "convenient" transactions a month. Not to be confused with the SEC's securities-related Regulation D, this was introduced by the Federal Reserve to control spending from savings accounts. Let's take a deeper dive into exactly what is...
To keep pace, the SEC is exploring initiatives such as theGlobal Legal Entity Identifier (GLEIF) system.GLEIF helps fosterr transparency by promoting clear identification of entities involved in financial transactions. As markets evolve, the SEC’s ongoing commitment to modernizing its regulatory framew...
Information security or InfoSec for short, refers to the network security process and tools that protect sensitive business information from being modified, disrupted or destroyed.
But even if your organization is not subject to a regulation or compliance standard, the survival of a modern business depends on data security, which can impact both the organization’s key assets and private data belonging to its customers. Whitepaper: Meeting Data Security Challenges in the ...
(infosec) is a set of policies, procedures and principles for safeguarding digital data and other kinds ofinformation. Infosec responsibilities include establishing a set ofbusiness processesthat protect information assets, regardless of how that information is formatted or whether it is in transit, ...
What Is Regulation A? Under U.S. securities laws, an offering or sale of asecuritymust be registered with theSecurities and Exchange Commission (SEC)or meet an exemption. Regulation A is an exemption from registration requirements—instituted by theSecurities Act of 1933—that applies to public ...
FindingsWhile there is still a lot of room for additional SEC guidance on what constitutes bona-fide market making, the SEC has provided some details on the specific type of trading that would not fall within the Regulation SHO exceptions applying to bona-fide market making activities. However,...
provided greater regulatory clarity for investors, the interagency rivalry persisted for decades. Although largely defused in the aftermath of the 2008 financial crisis and subsequent legislation, tensions between the CFTC and SEC have at times resurfaced, most notably over the regulation of ...