Search for: "Securities and Exchange Commission"
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6 Sep 2012, 8:01 am
The Securities and Exchange Commission ("SEC") announced Friday it had instituted administrative proceedings against three former executives of Stanford Group Co. [read post]
26 Oct 2022, 4:36 pm
Securities and Exchange Commission (“SEC”) voted on Wednesday to adopt a new rule requiring companies listed on a national securities exchange to claw back incentive-based executive compensation that was erroneously awarded on the basis of materially misreported financial information that requires an accounting restatement. [read post]
5 Feb 2024, 9:01 pm
On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the SEC, the case involved a claim that certain confidentiality language in an agreement with individuals would impede those individuals from reporting potential… [read post]
23 May 2014, 1:55 pm
Securities and Exchange Commission (the SEC) has a very similar whistleblower program in place that covers all of the various securities laws that are within the jurisdiction of the SEC, as opposed to the CFTC. [read post]
22 Dec 2018, 7:39 am
On November 30, 2018, the Securities and Exchange Commission (the “Commission”) adopted a new rule [1] establishing a non-exclusive research report safe harbor (“Rule 139b”) for unaffiliated brokers or dealers that publish or distribute research reports [2] regarding qualifying investment funds. [read post]
25 Jul 2011, 11:38 am
The Securities and Exchange Commission announced today that it has delayed consideration of final proxy vote disclosure rules for institutions that are Form 13F filers. [read post]
25 Jan 2007, 10:23 pm
"I think we are seeing the effects of a tougher and smarter campaign against white collar fraud by the [Securities and Exchange Commission] and the Justice Department," he said in a statement.BNA subscribers can access the full article here. [read post]
18 Dec 2008, 4:30 pm
Securities and Exchange Commission Chairman Christopher Cox in 2006, when Bernard Madoff's Ponzi scheme still had a couple years to run, despite warnings to the SEC. [read post]
29 Jul 2009, 12:02 pm
The Securities and Exchange Commission's Investor Advisory Committee, having held its first meeting on Monday, announced today that it has agreed on a broad agenda. [read post]
24 Nov 2010, 8:00 am
Securities and Exchange Commission released a proposal to reward individuals that provide information that leads to successful SEC enforcement action in which monetary sanctions total more than $1 million. [read post]
5 Apr 2007, 4:48 am
The Securities and Exchange Commission is sending its accounting staff to work with the Public Company Accounting Oversight Board on additional revisions to the auditing standard that has been criticized by public companies and legislators for creating costly audits of internal controls. [read post]
22 Sep 2010, 9:15 am
The Securities and Exchange Commission has published a timetable on its website outlining its schedule for implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
13 Jun 2012, 6:15 am
Securities and Exchange Commission. [read post]
6 Dec 2010, 3:00 pm
The International Ombudsman Association has submitted a statement to the Securities and Exchange Commission regarding the new Ombudsman for the Office of the Investor Advocate that will be implemented pursuant to the Dodd-Frank Act. [read post]
13 Aug 2010, 6:14 am
In Securities & Exchange Commission v. [read post]
2 May 2015, 6:00 am
Securities and Exchange Commission (the “SEC” or the “Commission”) approved final rules to create a new avenue for certain issuers to raise capital in transactions exempt from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”). [read post]
11 Oct 2024, 12:15 am
According to the Securities and Exchange Commission, which also filed civil complaints, the FBI directed the creation of a crypto asset, named NexfundAI, along with related promotional materials on a publicly available website. [read post]
24 Sep 2015, 1:08 pm
The Securities and Exchange Commission and other market regulators confront a challenging issue: How to effectively monitor and regulate activity in an environment that is both fast-moving and highly complex? [read post]
24 Aug 2009, 7:35 am
By Sue Asci The Securities and Exchange Commission yesterday received a court order from the U.S. [read post]
25 Apr 2024, 6:00 am
In addition to potentially misleading consumers and harming investors, this can break U.S. securities law, according to Gary Gensler, chair of the Securities and Exchange Commission. [read post]
