Search for: "Securities and Exchange Commission"
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16 Nov 2011, 11:06 am
A division of Morgan Stanley has agreed to pay more than $3.3 million to settle a Securities and Exchange Commission investigation that found a firm fund that invested in Malaysian stocks charged investors for third-party services those investors never received. [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
30 Sep 2010, 4:36 am
The Securities and Exchange Commission can't sue Fabrice Tourre over a Goldman Sachs Group Inc. deal involving collateralized debt obligations because the transaction wasn't in America, his lawyers told a judge. [read post]
23 Jun 2024, 10:00 pm
The US Securities and Exchange Commission has adopted amendments to Regulation S-P requiring entities under its remit to provide notice to individuals affected by certain types of data breaches. [read post]
31 Aug 2009, 2:05 am
The Inspector General of the Securities and Exchange Commission is expected to deliver a stinging report today on the agency's failure to prevent or detect Bernard Madoff's $65 billion Ponzi scheme. [read post]
2 Jul 2020, 10:00 pm
On Friday, July 3, the US Department of Justice (DOJ) Criminal Division and the Securities and Exchange Commission (SEC) published the Second Edition of A Resource Guide to the U.S. [read post]
11 Mar 2021, 10:00 pm
In the piece, they outline the US Securities and Exchange Commission’s areas of focus and best practices for developing an ESG program and disclosures. [read post]
3 Dec 2018, 5:55 pm
On November 15, the Securities and Exchange Commission (SEC) convened a Roundtable on the Proxy Process. [read post]
4 Jun 2007, 9:57 am
And last year, it was $11 billion according to Securities and Exchange Commission estimates. [read post]
1 Mar 2011, 1:08 am
JPMorgan Chase said in a filing to the Securities and Exchange Commission that it may face enforcement actions, fines and other added costs stemming from investigations into its mortgage-servicing procedures, all of which could add up to an additional $4.5 billion beyond what it had foreseen. [read post]
6 Apr 2022, 10:00 pm
Morgan Lewis partners Lance Dial, Erin Martin, and Kirstin Gibbs drafted an article for Reuters describing key provisions of the US Securities and Exchange Commission’s (SEC’s) proposed climate disclosure rules related to asset management. [read post]
30 May 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) recently approved a proposed environmental, social, and governance (ESG) rulemaking for investment advisers and funds. [read post]
23 Jun 2024, 10:00 pm
The US Securities and Exchange Commission has adopted amendments to Regulation S-P requiring entities under its remit to provide notice to individuals affected by certain types of data breaches. [read post]
30 Sep 2021, 10:00 pm
The article details Securities and Exchange Commission disclosure strategies and protocol. [read post]
22 May 2012, 1:26 am
Connolly, Watchung, New Jersey, has been charged by The Securities and Exchange Commission with operating a Ponzi-like scheme involving a series of investment vehicles formed for the purported purpose of purchasing and managing rental apartment buildings in New Jersey and Pennsylvania. [read post]
19 Apr 2022, 10:00 pm
In a historical proposed rulemaking, the US Securities and Exchange Commission marked the first time it has indicated that climate-related disclosure is material information that all public companies must provide regardless of industry or size. [read post]
4 Oct 2010, 12:04 pm
Brian Breheny, who until last month served as deputy director for legal and regulatory policy at the Securities and Exchange Commission, has joined the Washington office of Skadden, Arps, Slate, Meagher & Flom. [read post]
28 Sep 2010, 1:26 pm
In a surprising but welcome development, FINRA announced today that it will file a rule proposal next month with the Securities and Exchange Commission to make permanent its Public Arbitrator Pilot Program, in which investors are given the choice of selecting an all-public arbitrator panel in disputes with brokers, rather than a panel made up [...] [read post]
24 Feb 2020, 1:01 pm
Securities and Exchange Commission. [read post]
4 Sep 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk management programs. [read post]
