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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]
13 Jun 2025, 4:30 am
Securities and Exchange Commission, on Friday, June 6, 2025 Tags: Fiduciary duties, Proxy voting, SEC, Shareholder rights Remarks by Commissioner Peirce at the Meeting of the Investor Advisory Committee Posted by Hester M. [read post]
13 Jun 2025, 4:30 am
Securities and Exchange Commission, on Friday, June 6, 2025 Tags: Fiduciary duties, Proxy voting, SEC, Shareholder rights Remarks by Commissioner Peirce at the Meeting of the Investor Advisory Committee Posted by Hester M. [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]
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]
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]
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]
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]
17 Nov 2022, 5:00 pm
Securities and Exchange Commission Press Release [read post]
11 Sep 2024, 8:37 am
As I have more recently observed, Rule 21F-17(a) was adopted pursuant to Section 21F of the Securities Exchange Act (15 U.S.C. [read post]
25 Mar 2012, 5:27 am
Securities and Exchange Commission. [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]
16 Apr 2010, 12:36 pm
The Securities and Exchange Commission (SEC) has charged investment firm Goldman Sachs with fraud in connection to sales of synthetic collateralized debt obligations (CDOs). [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]
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]
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]
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]
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]
25 Apr 2008, 9:44 am
On April 23, The Wall Street Journal reported that the Securities and Exchange Commission has refused a congressional request to disclose why the investigation into Bear Stearns was dropped. [read post]
