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14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
28 Oct 2004, 4:19 pm
[JURIST] DaimlerChrysler AG announced today that it is under investigation by the Securities and Exchange Commission over alleged violations of the Foreign Corrupt Practices Act, which bars US companies from bribing foreign officials and requires compliance controls. [read post]
12 May 2009, 2:52 pm
The Securities and Exchange Commission sued a former Dallas Cowboy football player and his home-based investment firm, accusing them of perpetrating what the agency describes as an "ongoing multimillion-dollar fraud" in which $7 million are unaccounted for. [read post]
21 Jun 2020, 9:00 am
Securities and Exchange Commission. [read post]
24 Aug 2020, 2:24 pm
Partners Matthew Miner and Eric Sitarchuk and associates Jaclyn Whittaker and Amanda Robinson contributed an article to the newsletter Corporate Governance Advisor regarding the updated resource guide issued by the US Department of Justice (DOJ) and US Securities and Exchange Commission (SEC) in July. [read post]
26 Nov 2007, 1:08 pm
The Securities and Exchange Commission is seeking comments from college endowments and other investors about its attempts to identify companies that do business in countries identified as state sponsors of terrorism. [read post]
13 Aug 2012, 8:22 am
The disclosures that the Justice Department has closed an investigation of Goldman Sachs and that the Securities and Exchange Commission has decided not to pursue a civil fraud case may turn out to be the denouement of the government's investigations of Wall Street for potential wrongdoing that contributed to the financial crisis in 2008. [read post]
18 Dec 2008, 12:01 am
From Jeff Zeleny on The Caucus: President-elect Barack Obama on Thursday will announce he will name Mary Schapiro to be the chairman of the Securities and Exchange Commission, according to Democrats familiar with the decision, elevating Ms. [read post]
11 Mar 2004, 7:24 am
At its public meeting Thursday, the members of the Securities and Exchange Commission voted to approve a regulation that would require mutual funds to disclose detailed information on the managers of fund portfolios, including their names, compensation, and whether they themselves owned fund shares. [read post]
29 Mar 2023, 11:54 am
Securities and Exchange Commission has ruled against JPMorgan Chase’s attempt to exclude a shareholder resolution on viewpoint diversity from its ballot for its annual shareholder... [read post]
1 Aug 2014, 3:30 pm
Citigroup Inc. says it’s been told by the Securities and Exchange Commission that the agency has completed its investigation of the bank’s conduct regarding mortgage bonds and won’t bring further enforcement action. [read post]
21 Mar 2024, 9:07 am
On 6 March 2024, the US Securities and Exchange Commission adopted final rules by a 3-2 vote that would require domestic and foreign registrants to provide climate-related disclosures in their registration statements and annual reports. [read post]
24 Aug 2020, 2:24 pm
Partners Matthew Miner and Eric Sitarchuk and associates Jaclyn Whittaker and Amanda Robinson contributed an article to the newsletter Corporate Governance Advisor regarding the updated resource guide issued by the US Department of Justice (DOJ) and US Securities and Exchange Commission (SEC) in July. [read post]
15 Jul 2008, 11:59 am
As part of its investigation into the possible spreading of false rumors along Wall Street, the Securities and Exchange Commission has sent subpoenas to more than 50 hedge-fund advisers, The Wall Street Journal reported, citing a person familiar with the matter. [read post]
8 Apr 2024, 10:59 pm
Securities and Exchange Commission (SEC) brought an enforcement action against Mr. [read post]
18 Sep 2007, 4:50 am
The bank launched the Goldman Sachs Tradable Unregistered Equity problem for trading offerings to institutional investors that do not require a registration with the Securities and Exchange Commission. [read post]
23 Sep 2008, 12:07 pm
By Monday evening, the number of companies on the list rose to nearly 900, from 799 on Friday, when the Securities and Exchange Commission sought to restrict bearish [...] [read post]
3 Jan 2021, 10:00 pm
Investment advisers’ advertising and solicitation practices, and the media through which investment advisers communicate with clients and investors, have evolved considerably since the US Securities and Exchange Commission (SEC) adopted Rule 206(4)-1 (the Advertising Rule) in 1961 and Rule 206(4)-3 (the Cash Solicitation Rule) in 1979. [read post]
2 Aug 2007, 1:48 pm
In its delayed 2006 annual report filed Thursday with the Securities and Exchange Commission, San Diego-based Accredited [...] [read post]
24 Aug 2012, 9:18 am
Securities and Exchange Commission to a person who helped shut down an investment fraud. [read post]
