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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]
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]
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]
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]
30 Jun 2014, 12:09 pm
Aguilar of the United States Securities and Exchange Commission spoke at the New York Stock Exchange as part of the “Cyber Risks and the Boardroom” Conference. [read post]
7 Jun 2023, 7:13 pm
Securities and Exchange Commission (SEC), the latest industry testimony in the U.S. [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]
14 Nov 2006, 5:09 am
The Securities and Exchange Commission expects to file more lawsuits aimed at hedge funds accused of illegal trading and violating their clients' trust, the agency's chief enforcer said yesterday. [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]
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]
16 Mar 2010, 8:11 pm
Securities and Exchange Commission said. [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]
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]
23 Mar 2016, 1:51 pm
The subsidiary’s Securities and Exchange Commission filing says it expects to raise $100 million in proposed share sales. [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]
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]
14 Oct 2016, 3:27 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] set new rules [press release] on Thursday establishing new liquidation risk management rules for mutual funds and exchange-traded funds (ETF). [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]
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]
