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29 Nov 2013, 1:43 pm
On December 5th, the SEC will convene a Roundable on Proxy Advisory Services at the SEC’s Washington, D.C. headquarters. [read post]
3 Apr 2008, 6:34 am
The US SEC website finally has RSS feeds. [read post]
11 Oct 2017, 4:02 pm
Robbennolt have posted An Empirical Study of Admissions in SEC Settlements on SSRN with the following abstract: Transparency and accountability were the announced aims of the Securities and Exchange Commission (SEC) as it unveiled a... [read post]
6 Dec 2009, 5:05 am
The SEC has created on its website a portal devoted to XBRL. [read post]
11 Jan 2011, 10:26 am
Mike Koehler has an interesting and informative year-end perspective on SEC enforcement actions involving the Foreign Corrupt Practices Act at his website; see SEC Enforcement of the FCPA - 2010 Year in Review. [read post]
15 Sep 2010, 1:12 pm
Currently the SEC only has... [read post]
4 May 2011, 10:26 am
But shouldn’t we at least give Congress a say on SEC pay? [read post]
10 Nov 2014, 6:00 am
The defense attorneys in SEC v. [read post]
15 Nov 2017, 10:14 pm
This order reportedly relates to an SEC investigation of Woodbridge. [read post]
29 Sep 2021, 3:25 am
The SEC announced that John Coates, who served as Acting Director of the Division of Corporation Finance and then as Acting SEC General Counsel, will leave the SEC in October to return to teaching at Harvard University. [read post]
10 Feb 2020, 8:05 am
Receiving a subpoena from the Securities and Exchange Commission (SEC) is a serious matter as is the associated document production most SEC subpoenas call for. [read post]
10 Aug 2021, 8:42 am
In the second order, the SEC awarded more than $2.4 million to a whistleblower who alerted the SEC to previously unknown conduct, prompting the opening of the investigation, and thereafter met with SEC staff, provided documents, and identified potential witnesses. [read post]
10 Feb 2022, 2:35 pm
Read: SEC Proposed Changes to Two Whistleblower Program Rules More SEC Whistleblower News on WNN The post SEC Proposes Rule Amendments to Better Reward Whistleblowers appeared first on Whistleblower Network News. [read post]
13 Sep 2007, 12:38 pm
SEC Charges Audit Firms for Failure to Register with PCAOBThe SEC has charged auditors for issuing audit reports on public companies' financial statements without being registered with the PCAOB. [read post]
12 Jun 2015, 7:46 am
I’ve also called out the SEC when I think it’s out of line (for example, here). [read post]
19 May 2022, 4:10 am
As anyone who has ever tried to get a job at the SEC knows, the hiring window there tends to open and close randomly. [read post]
6 May 2013, 12:10 pm
For the first time, the SEC has charged a municipality for misleading statements made outside of its securities disclosure documents. [read post]
4 Jan 2023, 11:16 am
The SEC charged Goldman Sachs Asset Management, L.P. [read post]
30 Nov 2010, 8:05 am
The SEC's Inspector General has posted its Semi-Annual Report to Congress Apr. 1 -- Sept. 30, 2010 on its website. [read post]
2 May 2024, 8:34 am
Join NWC in Taking Action: Protect Internal Corporate Whistleblowers Further Reading: The SEC Award Order SEC Whistleblower Program had a Record-Setting 2023 Fiscal Year More SEC Whistleblower News The post SEC Grants $2.4 Million Whistleblower Award to Compliance Official appeared first on Whistleblower Network News. [read post]
