The SEC instituted proceedings to determine whether to approve a FINRA proposal that would change margin requirements for certain types of "protected" index options.
News & Insights
21 News Results
SEC Commissioner Caroline A. Crenshaw recommended additional regulation on the fixed income and options markets.
SEC Commissioner Caroline A. Crenshaw responded to reports that retail investors may be unable to exercise put options purchased on Silicon Valley Bank and Signature Bank stock.
The SEC charged three individuals with securities fraud for engaging in insider trading in the securities of Equifax, Inc. prior to its announcement of a major data breach.
A dual-registrant settled SEC charges for (i) failing to adequately train its financial advisers on a complex options strategy sold to clients, and (ii) failing to implement a reasonable supervisory system that would provide adequate oversight.