Search for: "Securities and Exchange Commission"
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8 Feb 2024, 9:09 am
On Tuesday, February 6, 2024, the United States Securities and Exchange Commission promulgated final rules relating to changing the definition of dealer pursuant to the Securities Exchange Act of 1934. [read post]
10 Mar 2015, 9:47 am
Last week, the Securities and Exchange Commission announced an award payout of between $475,000 and $575,000 to a former company officer who reported information about an alleged securities fraud. [read post]
30 Oct 2013, 6:16 am
Securities and Exchange Commission. [read post]
10 Sep 2009, 6:09 pm
Securities and Exchange Commission Head Mary Shapiro is warning broker-dealers to be careful of the recruiting tactics they employâ€â [read post]
21 Apr 2015, 5:58 am
Securities and Exchange Commission. [read post]
5 May 2021, 7:23 am
The Securities and Exchange Commission (SEC) has obtained a temporary restraining order and asset freeze against Melbourne, Florida resident Jonathan P. [read post]
1 Jun 2010, 1:48 pm
Those notes are at the center of a Securities and Exchange Commission fraud complaint issued last summer. [read post]
13 Feb 2007, 4:43 am
UBS Investment Bank and Goldman Sachs are underwriting the offering, according to a preliminary prospectus filed with the Securities and Exchange Commission, which did not disclose an estimated price range for the [...] [read post]
13 May 2010, 1:20 pm
Longtime Securities & Exchange Commission lawyer Gerald Hodgkins has been named an associate director in the Division of Enforcement. [read post]
3 Dec 2020, 10:00 pm
The Nasdaq Stock Market (Nasdaq) announced that it had submitted a proposal to the US Securities and Exchange Commission (SEC) seeking approval of new listing rules to advance board diversity and increase transparency to investors regarding the diversity characteristics of Nasdaq-listed company boards. [read post]
27 Mar 2012, 4:00 pm
David Becker is the former top lawyer at the Securities and Exchange Commission who participated in discussions over payouts to Madoff... [read post]
21 Oct 2008, 2:23 pm
New book, entitled Corporate Governance: Promises Kept, Promises Broken, from a leading scholar of the subject (via Prawfsblawg): In the wake of the Enron meltdown and other corporate scandals, the United States has increasingly relied on Securities and Exchange Commission... [read post]
4 Dec 2008, 5:42 pm
Richards (Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission) reviewed a regulator's ideas about how organizations can enhance regulatory compliance. [read post]
20 Dec 2011, 2:25 am
The Securities and Exchange Commission has brought fraud chargesagainst Heart Tronics Inc. [read post]
22 Jan 2014, 2:25 pm
On January 9, the Securities & Exchange Commission (“SEC”) released its National Examination Priorities (“NEP”) for 2014 and once again identified cybersecurity as a heightened risk that the agency intends to scrutinize as part of its mission to protect investors. [read post]
27 Oct 2024, 10:00 pm
Compliance with the US Securities and Exchange Commission’s (SEC’s) new Rule 13f-2 is required as of January 2, 2025. [read post]
7 Mar 2019, 9:00 pm
The Securities and Exchange Commission recently accused the German carmaker and its former chief executive officer of perpetrating a “massive fraud” on investors by lying about VW vehicles’ environmental compliance. [read post]
20 Aug 2008, 8:14 pm
In an letter to investors sent last month, he lets them know how he feels about recent actions by the Securities and Exchange Commission. [read post]
9 Jan 2025, 6:00 am
On December 11, 2024, the United States Court of Appeals for the Fifth Circuit in a rare en banc decision vacated the Securities and Exchange Commission’s (SEC) order approving Nasdaq’s board diversity rules (Rules 5605(f) and Rule 5606).Continue Reading › [read post]
16 Nov 2006, 4:59 am
Dell said Wednesday that the Securities and Exchange Commission had started a formal investigation into its accounting practices, but provided no other details of the inquiry, which began in August. [read post]
