Search for: "Securities and Exchange Commission"
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15 Jan 2010, 12:23 pm
The Securities and Exchange Commission announced this week a new initiative to encourage private individuals and corporations to cooperate in SEC investigations and enforcement. [read post]
10 Mar 2020, 11:44 am
By Brian Dunlay and Matthew Navarre On March 4, 2020, the Securities and Exchange Commission issued an Order granting conditional relief from certain filing obligations under the federal securities laws for reporting companies whose compliance may be delayed by the coronavirus disease (COVID-19). [read post]
22 Nov 2011, 7:50 pm
The Securities and Exchange Commission (the "Commission") charged a Canadian resident and his New Hampshire business with operating a fraudulent Ponzi scheme that took in over $1 million from investors. [read post]
9 Jan 2012, 11:08 am
The Securities and Exchange Commission (SEC) recently filed a cease-and-desist order against an Illinois man, Anthony Fields, for scamming investors with a fictitious securities offering. [read post]
12 Aug 2020, 10:00 pm
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery framework—for annual prospectus updates and annual and semi-annual shareholder reports—with streamlined shareholder reports delivered semi-annually that contain simplified information in a user-friendly format. [read post]
11 Mar 2017, 10:31 am
The Securities and Exchange Commission (SEC) [official website] on Friday announced its decision to reject an application [text] to create an exchange-traded fund (ETF) [investopedia backgrounder] tied to the value of Bitcoin [website], a virtually currency. [read post]
13 Jun 2023, 5:44 pm
One of the first rounds in the clash between the Securities and Exchange Commission and Binance is giving the exchange’s users an uncomfortably close front row — and it might have them wondering if they should keep their funds or flee.The answer boils down to the risk a person can stomach, experts say. [...] [read post]
12 Aug 2020, 10:00 pm
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery framework—for annual prospectus updates and annual and semi-annual shareholder reports—with streamlined shareholder reports delivered semi-annually that contain simplified information in a user-friendly format. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
13 Jun 2023, 4:48 pm
By Andrew Keshner The SEC is scheduled to argue Tuesday to temporarily freeze assets tied to Binance.US One of the first rounds in the clash between the Securities and Exchange Commission and Binance is giving the exchange's users an uncomfortably close front row -- and it might have them wondering if they should [...] [read post]
14 Nov 2007, 7:58 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] on Wednesday agreed to a $30 million settlement of Foreign Corrupt Practices Act [materials; DOJ backgrounder] charges against Chevron [corporate website] in connection with the oil company's alleged involvement in a scheme to exchange illegal payments to Iraqi officials under the now-defunct UN Oil-for-Food program [ [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
7 Jun 2023, 10:00 pm
The New York Stock Exchange (NYSE) and Nasdaq , on June 5 and June 6, respectively, amended the proposed listing standards they previously submitted to the US Securities and Exchange Commission (SEC) to extend the compliance deadline. [read post]
2 Feb 2010, 10:56 pm
New on the website of the Securities Exchange Commission Historical Society is the video "Can Regulatory Agencies Protect the Consumer? [read post]
13 Jun 2023, 12:33 pm
By Andrew Keshner The SEC is scheduled to argue Tuesday to temporarily freeze assets tied to Binance.US One of the first rounds in the clash between the Securities and Exchange Commission and Binance is giving the exchange's users an uncomfortably close front row -- and it might have them wondering if they should [...] [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
12 Aug 2020, 10:00 pm
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery framework—for annual prospectus updates and annual and semi-annual shareholder reports—with streamlined shareholder reports delivered semi-annually that contain simplified information in a user-friendly format. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
23 Oct 2007, 7:27 am
The Securities and Exchange Commission (SEC) recently approved a controversial rule proposal that will add significant protections for investors purchasing or exchanging deferred variable annuities. [read post]
