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29 May 2020, 5:40 am
Securities and Exchange Commission, on Thursday, May 28, 2020 Tags: Asset management, COVID-19, ESG, Institutional Investors, Investment advisers, Investor protection, Securities regulation [read post]
16 Apr 2007, 11:38 am
The WSJ today reports that the Securities and Exchange Commission "is exploring a new policy that could permit companies to resolve complaints by aggrieved shareholders through arbitration, limiting shareholders' ability to sue in court. [read post]
10 Oct 2007, 2:27 pm
The Securities and Exchange Commission has filed Morgan Stanley $7.5 million to settle charges that it provided insufficient written trade confirmations to its customers for municipal securities and bonds. [read post]
28 May 2010, 1:55 pm
One-time special prosecutor who uncovered the dirty details of the former President's affair with intern Monica Lewinsky has been engaged in some bad behavior of his own, according to the Justice Department and Securities and Exchange Commission. [read post]
19 Aug 2009, 8:53 am
Lynch, Of DOW JONES NEWSWIRES WASHINGTON -(Dow Jones)- The Securitiesâ€â [read post]
28 Dec 2020, 12:17 pm
Securities and Exchange Commission (SEC) and the U.S. [read post]
21 Jul 2010, 11:50 am
The Securities and Exchange Commission announced that Goldman, Sachs & Co. will pay $550 million and reform its business practices to settle SEC charges that Goldman misled investors in a subprime mortgage product. [read post]
29 Nov 2021, 6:31 am
Financial advisors and brokers who work on commission often make “exchanges” that switch clients from one investment into a very similar different investment. [read post]
11 Aug 2010, 7:24 am
Following the 2003 Global Settlement with FINRA and the Securities andamp; Exchange Commission, were Morgan Stanley paid $125 million in fines, disgorgement, and andquot;procurement of Independent Research,andquot; it seems Morgan Stanley has been caught again publishing inaccurate and misleading investment research report, which fail to disclose Morgan Stanleyandrsquo;s financial interests, and conflicts of interest to customers with respect to the recommendation of… [read post]
23 Apr 2008, 2:28 pm
Recently, the Securities and Exchange Commission announced that it was seeking information on auction-rate debt sales. [read post]
24 Oct 2008, 10:52 am
Cox 'strongly' supports merger between SEC, CFTC - "Christopher Cox, chairman of the Securities and Exchange Commission, said a committee on regulatory reform of the financial-services industry should be established to explore a merger between the SEC and the Commodity Futures Trading Commission. 'It could tackle the challenge of merging the SEC and the CFTC, which I strongly support,' Cox testified at a congressional hearing. 'This… [read post]
19 Aug 2011, 6:30 am
Securities and Exchange Commission. [read post]
7 Aug 2012, 6:10 am
Securities and Exchange Commission. [read post]
9 Oct 2024, 9:05 pm
Cryptocurrency enthusiasts rejoiced when the Securities and Exchange Commission (SEC) approved the listing of bitcoin – and ether-based exchange-traded products (ETPs) – on U.S. stock exchanges earlier this year. [read post]
18 Jan 2012, 1:26 pm
As part of his practice, he represents financial service companies as they navigate federal laws overseen by the Securities and Exchange Commission. [read post]
24 May 2011, 1:07 pm
EST, the Securities and Exchange Commission (SEC) will meet to vote on its final rules for the whistleblower provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
6 Jun 2017, 12:42 pm
§ 2462 applies to disgorgement sought by the Securities and Exchange Commission. [read post]
27 Feb 2023, 1:18 pm
Stanford Financial collapsed in February 2009 after investigations by the Securities and Exchange Commission questioned whether the returns on the company’s C.D.s were too good to be true. [read post]
19 Oct 2011, 9:08 am
Senator Jack Reed (D-RI), Chair of the Securities Subcommittee, said that it was time to ask some questions about exchange-traded funds, which are mutual funds that trade like stocks. [read post]
2 May 2014, 6:02 am
Securities & Exchange Commission. [read post]
