The co-founder and former executive of a Las Vegas-based tech company settled SEC charges for violating whistleblower protection rules.
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SEC Chair Gary Gensler outlined additional regulatory steps to protect registrants, public companies and service providers against "cybersecurity pitfalls" facing the "financial sector, investors, issuers and the economy at large."
The SEC approved a petition filed by Bond Dealers of America and one of its members to review an SEC- approved FINRA rule change modifying margin requirements concerning TBA transactions.
In submitted comments, financial services and alternative investment associations raised multiple concerns about the SEC's proposal on cybersecurity risk management and reporting requirements for investment advisers and funds.
In a letter to SEC Chair Gary Gensler, 25 trade associations asserted that the "unnecessarily short" time that the SEC is allowing for comments on rule proposals makes it difficult to provide meaningful input.