Search for: "U. S. Securities and Exchange Commission"
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22 Dec 2016, 9:26 am
Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
9 Dec 2016, 6:50 pm
Securities and Exchange Commission, and also a Women’s Law and Public Policy Fellow and Harvard Fellow in Public Interest Law at TransAfrica Forum, a Washington, D.C., based NGO that focuses on U.S. foreign policy toward Africa and the Caribbean. [read post]
11 Nov 2016, 4:07 am
” Adopting certain language verbatim from the Securities and Exchange Commission’s (“SEC”) amicus brief, the Second Circuit noted that “ ‘atypical language in the lock-up agreement, or other facts and circumstances outside of the lock-up agreement,’ may trigger a Section 13(d) ‘group’ finding. [read post]
7 Nov 2016, 6:31 am
On October 18, the Division of Corporation Finance (the “Staff”) of the Securities and Exchange Commission (the “Commission”) released five Compliance and Disclosure Interpretations (“C&DIs”) addressing new Item 402(u) of Regulation S-K regarding CEO pay ratio disclosure. [read post]
20 Oct 2016, 5:00 am
The Commission’s pay ratio rule is set out in Item 402(u) of Regulation S-K. [read post]
25 Aug 2016, 7:51 am
As you all probably already know, in 2015 the Securities and Exchange Commission (or the SEC) adopted Regulation Crowdfunding to implement Title III of the Jumpstart Our Business Startups (JOBS) Act. [read post]
11 Aug 2016, 2:29 pm
The Securities and Exchange Commission today charged a stockbroker and his friend with participating in an insider trading scheme to profit in advance of two major announcements out of a pharmaceutical company. [read post]
19 May 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that it will grant a whistleblower its third-largest reward ever of between $5 Million and $6 Million – emphasizing that employees are often the ones who are best-placed to discover securities violations, the SEC justified the decision as rewarding an insider tip that led to the discovery of violations that would have been “nearly impossible” for the SEC to detect on its own. [read post]
13 May 2016, 6:02 am
Last month the Securities and Exchange Commission (SEC) instituted and simultaneously settled an administrative enforcement case in which a civil penalty of $225,000.00 was assessed against Cambridge Investment Research Advisors, Inc. [read post]
15 Apr 2016, 9:25 am
’”[viii] There are others who have expressed concerns regarding the DOL rule, including the Securities and Exchange Commission, the insurance and securities industries, as well as politicians, which shall be discussed in future postings.Still, many in the government feel the rule is a victory. [read post]
10 Apr 2016, 9:17 pm
” … New York’s and California’s attorneys general have investigated Exxon for making donations to think tanks like the American Enterprise Institute and lobbying groups like the American Legislative Exchange Council. [read post]
18 Mar 2016, 1:59 pm
En esencia, el Securities and Exchange Commission destaca cinco requisitos con los cuales tiene que cumplir una compañía: 1. [read post]
2 Mar 2016, 12:00 pm
Securities and Exchange Commission (“SEC” or the “Commission”) ruled that Former Neuberger Berman Analyst Sandeep “Sandy” Goyal, whom the SEC previously barred from the securities industry after he pled guilty to insider trading, could participate in the industry again. [read post]
31 Jan 2016, 6:06 am
Securities and Exchange Commission. [read post]
28 Jan 2016, 4:34 pm
-affiliated securities dealers of nine bank holding companies under a voluntary pilot program run by the Office of Financial Research (OFR) and the Federal Reserve System with input from the Securities and Exchange Commission. [read post]
27 Jan 2016, 1:32 pm
FINRA determines what portions of the CRD filings become publicly available on BrockCheck. [2] Securities and Exchange Commission (2015 September 25). [read post]
14 Jan 2016, 5:10 pm
In 2015, proxy access, shareholder activism and newly adopted or proposed rules from the Securities Exchange Commission were some of the big-ticket items. [read post]
13 Jan 2016, 3:57 pm
-affiliated securities dealers of nine bank holding companies under a voluntary pilot program run by the Office of Financial Research and the Federal Reserve System with input from the Securities and Exchange Commission. [read post]
23 Dec 2015, 1:02 pm
On December 15, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint and Jury Demand (the “Complaint”), alleging fraud charges against Atlantic Asset Management LLC (“AAM”), an investment advisory firm in Stamford, Connecticut, which is believed to have invested more than $43 million of its clients’ funds into bonds with secret financial connections to BFG Socially Responsible Investments Ltd. [read post]
12 Nov 2015, 11:14 am
Individual Investment Limits In the final rules, the Securities and Exchange Commission (the “SEC”) has modified the investor limits from those included in its proposed rules. [read post]
