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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]
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]
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]
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]
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]
2 Nov 2021, 9:05 pm
Securities and Exchange Commission (SEC) in April 2021, the cryptocurrency industry rejoiced at the news of an expert on digital assets guiding securities regulation and policy. [read post]
13 Jun 2012, 6:15 am
Securities and Exchange Commission. [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]
7 Aug 2010, 12:01 pm
The Commission says the broad exemption from FOIA is necessary to gather confidential business data from industry insiders who otherwise would fear that their trade secrets would be made public.The Chicago Tribune, in an editorial, isn’t buying that rationale. [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]
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]
14 Feb 2022, 9:00 am
See Securities and Exchange Commission v. [read post]
13 Aug 2010, 6:14 am
In Securities & Exchange Commission v. [read post]
13 Sep 2007, 2:09 pm
As if I’d ever let you forget, I will remind you that Usana Health Sciences is being investigated by the Securities and Exchange Commission for violation of securities laws. [read post]
15 Oct 2009, 9:46 am
In a regulatory filing today, San Francisco-based Charles Schwab reported that it received a Wells Notice from the Securities and Exchange Commission (SEC) for alleged securities law vioations regarding its Schwab YieldPlus and Total Bond Market Fund. [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]
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]
