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SEC Returns Spotlight to Cybersecurity Disclosure Enforcement | King & Spalding

SEC Returns Spotlight to Cybersecurity Disclosure Enforcement | King & Spalding
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United statesBrian krebsGary genslerWilliamf johnsonDivision of examinationsShare class initiative returning more thanDivision of enforcementExchange act release noFrauds perpetrated against public companiesYork department of financial servicesMatter of first american financial corporationTrial forum for first cyberDivision of corporationFirst american financial corpSecurities exchange act ruleFirst american financial corporation

MIAX Exchange Group - Options & Equities Markets - Reg SCI / SIFMA BCP Testing on Saturday, October 23, 2021

MIAX Exchange Group - Options & Equities Markets - Reg SCI / SIFMA BCP Testing on Saturday, October 23, 2021
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United statesElectronic exchange membersExchange groupEmerald options exchangePearl options exchangePearl equities exchangeOptions exchangeEquities exchangesRegulation systems complianceDisaster recoveryDisaster recovery plans testing memberOptions exchangesExchange membersEquities exchangeDay timelineTrading systems

SEC Proposes Amendments to Regulation ATS for Government Securities ATSs | WilmerHale

To embed, copy and paste the code into your website or blog: The Securities and Exchange Commission (SEC) proposed to amend Regulation ATS under the Securities Exchange Act of 1934 (Exchange Act) for alternative trading systems (ATSs) that trade government securities or repurchase and reverse repurchase agreements on government securities (Government Securities ATS). After considering the significant role of Government Securities ATSs in today’s government securities market structure, the complexity of Government Securities ATS operations, and prior comments it received relating to Government Securities ATSs, the SEC proposed to eliminate the exemption from compliance with Regulation ATS for Government Securities ATSs, and to require such ATSs, among other things, to

Exchange commissionAgency securitiesUs treasury securities or agencySecurities exchangeSecurities exchange actExchange actGovernment securitiesFair access ruleRegulation systems complianceபரிமாற்றம் தரகுபத்திரங்கள் பரிமாற்றம்பத்திரங்கள் பரிமாற்றம் நாடகம்பரிமாற்றம் நாடகம்அரசு பத்திரங்கள்நியாயமான நுழைவு ஆட்சிஒழுங்குமுறை அமைப்புகள் இணக்கம்

SEC s OCIE gets new moniker as Examinations Division

SEC’s OCIE gets new moniker as Examinations Division Bloomberg The SEC s Office of Compliance Inspections and Examinations is getting a name change to Division of Examinations to reflect the division s role in promoting a strong culture of compliance within the financial services industry, agency commissioners said Thursday. The office created 25 years ago is now the SEC s second largest division, after enforcement. Along with keeping up the growth in investment advisers and national securities exchange participants, the division has assumed responsibilities for many new entities, including private fund advisers; municipal advisers; entities under Regulation Systems Compliance, or Regulation SCI; and soon-to-be registered securities-based swap dealers, the SEC said.

Office of compliance inspectionsDivision of examinationsCompliance inspectionsRegulation systems complianceஅலுவலகம் ஆஃப் இணக்கம் ஆய்வுகள்பிரிவு ஆஃப் தேர்வுகள்இணக்கம் ஆய்வுகள்ஒழுங்குமுறை அமைப்புகள் இணக்கம்

MIAX Business Continuity And Disaster Recovery Plans Testing, Member Designation Standards

MIAX Business Continuity And Disaster Recovery Plans Testing, Member Designation Standards Date 18/12/2020 As required by Regulation Systems Compliance and Integrity and MIAX Options Rule 321, which is incorporated by reference into both the MIAX Pearl and MIAX Emerald Exchange Rule Books, and thus applicable to Members of both Exchanges, certain Members of the MIAX Exchanges will have mandatory participation requirements in the annual SIFMA Business Continuity Planning Disaster Recovery (“BC/DR”) test. Please refer to the following for more information on designation standards and requirements for Designated Members.

Emerald exchange rule booksRegulation systems complianceExchange rule booksContinuity planning disaster recoveryமரகதம் பரிமாற்றம் ஆட்சி புத்தகங்கள்ஒழுங்குமுறை அமைப்புகள் இணக்கம்பரிமாற்றம் ஆட்சி புத்தகங்கள்தொடர்ச்சி திட்டமிடல் பேரழிவு மீட்பு