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Securities Regulation Daily

Same-Day Coverage of Breaking News

Breaking news on securities regulations.

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Breaking news and expert analysis on Securities Regulation.

What good is the right knowledge if it’s at the wrong time? 

Breaking news and expert analysis

  • View full summaries of federal and state court decisions
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Sample Articles
News
Petition argues for express requirement to apply ‘total mix’ standard

A petition for certiorari has been filed asking the Supreme Court to address the materiality need for a conviction under Section 10(b). The petitioners were convicted of violations of Rule 10b-5(c...

February 14, 2018
News
FCM held liable for failure to supervise its IT provider and resulting data breach

The CFTC issued an order simultaneously filing and settling charges against AMP Global Clearing LLC (AMP), a Chicago-based futures commission merchant (FCM) registered since 2010, for its failure to...

February 13, 2018
News
SEC launches initiative to encourage self-reporting of share class selection disclosure failures

The SEC’s Enforcement Division has announced an initiative to protect advisory clients from undisclosed conflicts of interest and encourage advisers to self-report violations. Under the Share...

February 12, 2018
News
Quintenz calls on cryptocurrency community to create self-regulatory framework

In a recent appearance before the Yahoo Finance All-Markets Summit in New York City, CFTC Commissioner Brian Quintenz called on the cryptocurrency community to establish a self-regulatory structure...

February 8, 2018
News
Coscia seeks Supreme Court review of first criminal commodities spoofing conviction

Calling a Dodd-Frank Act provision prohibiting commodities spoofing "hopelessly vague," the first defendant criminally convicted under the provision has asked the Supreme Court to grant...

February 7, 2018

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