Spoofing lands TD Securities in SEC hot seat

By Kim Riley   |   October 2, 2024   |   Federal

The Securities and Exchange Commission (SEC) said Monday it filed charges against registered broker-dealer TD Securities (USA) LLC for manipulating the U.S. Treasury cash securities market through an ...

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SEC adopts EDGAR amendments

By Financial Regulation News Reports   |   October 1, 2024   |   Federal

The Securities and Exchange Commission (SEC) recently adopted rule and form amendments that will enhance the security of its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system and impro...

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