Search for: "Securities and Exchange Commission"
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24 Sep 2020, 6:35 am
Securities and Exchange Commission. [read post]
6 Apr 2022, 6:12 am
Securities and Exchange Commission (SEC) announced that it unanimously voted to approve proposed changes requiring certain institutional investment managers [1] (managers) to report short sale-related information to the SEC. [read post]
11 Nov 2023, 6:30 am
Rule 13f-2 under the Securities Exchange Act of 1934 (Exchange Act) was approved on October 13, 2023, by a 3-2 vote. [read post]
11 Nov 2023, 6:30 am
Rule 13f-2 under the Securities Exchange Act of 1934 (Exchange Act) was approved on October 13, 2023, by a 3-2 vote. [read post]
6 Apr 2022, 6:12 am
Securities and Exchange Commission (SEC) announced that it unanimously voted to approve proposed changes requiring certain institutional investment managers [1] (managers) to report short sale-related information to the SEC. [read post]
18 Jul 2019, 6:26 am
In 1982, the Securities and Exchange Commission (“SEC” or “Commission”) finalized Rule 10b-18, 17 C.F.R. [read post]
23 Mar 2020, 3:33 pm
The Commission recognized that the need to comply with Exchange Act regulations pertaining to transfer agents under Section 17A and Section 17(f) may present compliance issues by those affected by COVID-19 (Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder, Release No. 34-88448, March 20, 2020). [read post]
1 Jul 2021, 2:33 pm
Securities and Exchange Commission (“SEC”) indicating its intention to go public. [read post]
21 Jul 2024, 8:23 pm
Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. [read post]
16 Mar 2012, 7:17 am
Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions from the Securities and Exchange Commission The staff of the Securities and Exchange Commission today has made available publicly an analysis of market data related to credit default swap transactions. [read post]
23 May 2016, 2:57 pm
On April 29, 2016, the Securities and Exchange Commission (“SEC”) filed an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of The Securities Exchange Act of 1934, Section 203(k) of The Investment Advisers Act of 1940, and Rule 102(e) of The Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order (the “Order”) against… [read post]
2 Aug 2014, 12:38 am
On July 31, the Securities and Exchange Commission’s whistleblower office announced that it had awarded $400,000 to a company employee who reported his or her employer after failing to persuade the company to correct the practice. [read post]
23 May 2016, 2:57 pm
On April 29, 2016, the Securities and Exchange Commission (“SEC”) filed an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of The Securities Exchange Act of 1934, Section 203(k) of The Investment Advisers Act of 1940, and Rule 102(e) of The Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and A Cease-and-Desist Order (the “Order”) against… [read post]
3 Feb 2009, 2:13 am
The English Court of Appeal has shown its readiness to cooperate with foreign regulators – in this case, the US Securities and Exchange Commission – by agreeing to freeze allegedly suspect assets.In the case of Securities and Exchange Commission v Manterfield [2009] EWCA Civ 27, the defendants, who were involved in an international investment fund, appealed against the High Court's decision to continue a worldwide… [read post]
14 Oct 2010, 9:15 am
A federal judge has approved Dell's proposed $100 million settlement with the US Securities and Exchange Commission. [read post]
27 Jul 2010, 2:56 pm
The Securities and Exchange Commission is calling for public commentary on proposed regulatory initiatives under the Dodd-Frank Act, including the new Ombuds for the Office of the Investor Advocate. [read post]
6 Nov 2008, 4:44 pm
Recently the SEC (Securities and Exchange Commission) instituted settled administrative proceedings against Stephen Moynahan (SEC Rel.No. 34-58689). [read post]
7 Sep 2011, 8:46 am
A former Dechert partner has returned to the firm after two years with the Securities and Exchange Commission, the firm announced Wednesday. [read post]
2 Apr 2022, 5:37 am
Securities and Exchange Commission (SEC) published and requested comment on proposed new Rule 13f-2 (the Rule) under the Securities Exchange Act of 1934 (Exchange Act) and Form SHO, which would require institutional investment managers (as such term is defined under Section 13(f)(6)(A) of the Exchange Act (Institutional Investment Managers)) to report to the SEC extensive information on certain “large” short positions and… [read post]
28 Jun 2011, 11:47 am
–based securities laws violations, Section 21 of the Exchange Act provides proper authority for the relief sought by the commission,” she held. [read post]
