Search for: "Securities and Exchange Commission"
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28 Apr 2014, 1:58 pm
Robert Brown Jr. has posted The Proxy Plumbing Release Revisited and the Need for Version 2.0 on SSRN with the following abstract: Congress assigned the Securities and Exchange Commission (SEC or Commission) responsibility over the proxy process in the... [read post]
6 Apr 2022, 8:00 am
The Securities and Exchange Commission today proposed new Regulation SE under the Securities Exchange Act of 1934 (the Exchange Act) to create a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). [read post]
24 Oct 2014, 10:17 am
Chief ALJ Brenda Murray explained in a footnote that the exchanges are required to make available “core” data, which includes information such as best price offered and bid for each security, whereas non-core depth-of-book data is not required to be made available. [read post]
2 Aug 2011, 2:49 am
On May 23, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) proposed joint rules in Federal Register 33-9204 (click here for a copy) that define the terms swap, security-based swap, security-based swap agreement, and mixed swaps. [read post]
9 May 2012, 7:00 am
The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
3 Apr 2023, 1:10 pm
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. [read post]
31 Jan 2024, 8:28 am
The Security and Exchange Commission (SEC) announced that J.P. [read post]
31 Jul 2012, 3:33 pm
The Securities and Exchange Commission today issued a comprehensive report that includes recommendations to help improve the $3.7 trillion municipal securities market and enhance the disclosures provided to investors. [read post]
8 Jun 2022, 6:07 am
RiverSource Distributors Accused of Targeting Retail Ameriprise Financial Customers With VA Sales The US Securities and Exchange Commission (SEC) is ordering Ameriprise’s subsidiary brokerage firm, RiverSource Distributors, to pay a $5M fine for alleged violations involving variable annuities (VAs). [read post]
28 Aug 2023, 4:00 am
The Court had asked the Securities and Exchange Commission to offer its opinion on whether they were securities and the SEC declined to do so. [read post]
28 Oct 2011, 3:14 pm
The Securities and Exchange Commission has launched a general review of exchange trade funds, including the adequacy of disclosures made to investors. [read post]
26 Nov 2009, 7:15 pm
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
9 Dec 2009, 11:45 am
The Securities and Exchange Commission has charged Brookstreet Securities, its President and CEO Stanley Brooks with fraud for systematically selling risky mortgage-backed securities to customers with conservative investment goals. [read post]
14 Dec 2023, 11:05 am
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. [read post]
23 Oct 2020, 8:11 am
The Securities and Exchange Commission’s proposal would permit hedge funds with less than $3.5 billion in assets to stop reporting their holdings in quarterly reports to the Securities and Exchange Commission. [read post]
23 Jul 2010, 12:20 pm
The Ontario Securities Commission (OSC) today published a revised version of OSC Staff Notice 21-703 - Transparency of the Operations of Stock Exchanges and Alternative Trading Systems. [read post]
23 May 2016, 8:37 am
Securities and Exchange Commission has filed new charges against him in federal court for securities fraud. [read post]
22 Jan 2025, 10:00 pm
Companies exploring such security practices should keep in mind that executive security protections may be considered disclosable compensation under Securities and Exchange Commission disclosure rules and trigger special income tax consequences for purposes of both income imputation and employer tax deductions. [read post]
22 Jan 2025, 10:00 pm
Companies exploring such security practices should keep in mind that executive security protections may be considered disclosable compensation under Securities and Exchange Commission disclosure rules and trigger special income tax consequences for purposes of both income imputation and employer tax deductions. [read post]
22 Jan 2025, 10:00 pm
Companies exploring such security practices should keep in mind that executive security protections may be considered disclosable compensation under Securities and Exchange Commission disclosure rules and trigger special income tax consequences for purposes of both income imputation and employer tax deductions. [read post]
