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23 Jun 2009, 3:07 pm
An organization of attorneys who represent investors in securities arbitrations has filed a petition with the Securities and Exchange Commission to eliminate FINRA's requirement that, in cases over $100,000, one of the three arbitrators must be a person affiliated with the securities industry. [read post]
19 Jun 2011, 2:52 pm
However, the Dodd-Frank Act is less prescriptive with respect to the determination of compensation committee independence, stating instead that SEC rules must require that the national securities exchanges consider relevant factors, including certain fees and affiliations with the issuer. [read post]
6 Mar 2020, 6:17 am
On January 30, the Securities and Exchange Commission (“SEC”) published new guidance (the “Metrics Guidance”) on key performance indicators and other metrics in the Management’s Discussion and Analysis (“MD&A”) sections of reports filed under the Securities Exchange Act of 1934 (the “Exchange Act”). [1] The Metrics Guidance provides that public companies disclosing metrics (whether… [read post]
27 Nov 2013, 11:00 am
The Securities and Exchange Commission has not reached a conclusion if there will be change to the Exchange Act Rule 10b5-1 stock trading plans, if it should amend the rule, or to provide additional guidance. [read post]
17 Nov 2022, 5:00 pm
Securities and Exchange Commission Press Release [read post]
7 Sep 2013, 7:32 am
The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules. [read post]
22 Sep 2015, 9:00 am
On September 16, 2015, the Securities and Exchange Commission (“SEC”) adopted revisions to Rule 2a-7, the primary rule governing money market funds. [read post]
11 Nov 2016, 1:23 pm
On October 16, 2016, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings (the “Order”) against mobile phone application (“App”) Forcerank LLC (“Forcerank”) pursuant to violations of Section 8A of the Securities Act of 1933, and Section 21C of the Securities Exchange Act of 1934. [read post]
11 Nov 2016, 1:23 pm
On October 16, 2016, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings (the “Order”) against mobile phone application (“App”) Forcerank LLC (“Forcerank”) pursuant to violations of Section 8A of the Securities Act of 1933, and Section 21C of the Securities Exchange Act of 1934. [read post]
16 Mar 2017, 11:07 am
The Securities and Exchange Commission (SEC) announced Feb. 14, 2017 that Morgan Stanley Smith Barney will pay $8 million and admit wrongdoing after allegations related to single inverse ETF (exchange –traded fund) investments it recommended to advisory clients. [read post]
2 Sep 2010, 9:06 am
Under Section 21(a) of the Securities Exchange Act, the Commission may investigate violations of the federal securities laws and at its discretion publish information concerning any such violations. [read post]
19 May 2023, 12:50 pm
The Securities and Exchange Commission is also focusing on conflicts of interest that dual registrants face. [read post]
18 Oct 2023, 8:35 am
In the light of this proposed narrowing down of the scope of the BMR, the Commission proposes to remove the current specific exemption regime for spot foreign exchange benchmarks. [read post]
31 Aug 2019, 7:00 am
The Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”) both include investment contracts in their definition of securities. (15 U.S.C. [read post]
31 Jan 2010, 9:18 pm
According to Securities and Exchange Commission Chairman Mary Schapiro, the agency is dealing with a number of credit crisis-related issues associated with money market mutual funds, asset-backed securities, and credit ratings. [read post]
13 Dec 2006, 5:11 am
The Securities and Exchange Commission is not expected to bring enforcement action in all of its investigations of stock-options backdating, focusing instead on the worst offenders. [read post]
6 Aug 2007, 4:58 am
The Securities and Exchange Commission bungled a promising investigation two years ago into suspicious trading at Pequot Capital Management, a giant hedge fund, according to the final report released by Congressional investigators looking into the matter. [read post]
7 Oct 2008, 12:10 pm
A federal inquiry has concluded that the Securities and Exchange Commission should consider disciplining its director of enforcement and two supervisors for their role in handling an insider trading investigation that led to the firing of an S.E.C. lawyer for trying to interview an influential Wall Street executive. [read post]
18 Apr 2023, 9:35 am
Supreme Court ruled last week that parties seeking to challenge the constitutionality of the structure of the Federal Trade Commission and the Securities and Exchange Commission cannot be required to raise such challenges in the first instance before an administrative law judge (ALJ) and may bring such challenges directly in a federal district court. [read post]
7 Sep 2022, 7:47 am
The Securities Exchange Act of 1934 This act authorized and created the Securities and Exchange Commission, leading the way for an overseeing agency for the financial markets. [read post]
