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16 Sep 2005, 2:42 pm
[JURIST] Leading Friday's corporations and securities law news, the US Securities and Exchange Commission [official website] has formally set out its plans to alleviate corporate financial strain caused by Hurricane Katrina [JURIST news archive]. [read post]
27 Feb 2003, 9:48 pm
[JURIST] Securities and Exchange Commission v. [read post]
28 Jul 2005, 6:28 pm
Christopher Cox [Wikipedia profile]'s nomination to head the Securities and Exchange Commission (SEC) [official website]. [read post]
19 Sep 2005, 11:37 am
[JURIST] Leading Monday's corporations and securities law news, the US Government Accountability Office (GAO) [official website] has released a report urging the Securities and Exchange Commission [official website] (SEC) to improve its oversight of the mutual funds industry. [read post]
10 Aug 2005, 4:33 pm
[JURIST] Leading Wednesday's corporation and securities law news, the US Court of Appeals for the District of Columbia Circuit has suspended controversial corporate governance rules for mutual funds promulgated by the Securities and Exchange Commission. [read post]
17 Dec 2010, 5:53 am
Sawyers (andquot;Sawyersandquot;), former employees of Wachovia Securities, L.L.C., now known as Wells Fargo Advisors, were charged on December 15, 2010 by theandnbsp;United States Securities and Exchange Commission with securities fraud. [read post]
21 Sep 2009, 7:29 pm
Last week, the Securities and Exchange Commission Enforcement Division took the unusual step of re-opening an investigation of financial reporting irregularities at Overstock.com (NASDAQ: OSTK) after dropping a previous investigation just fifteen months earlier in June 2008. [read post]
2 Apr 2019, 6:08 am
Securities and Exchange Commission (“SEC”). [2] In addition, the Advisory builds upon and incorporates the CFTC’s January 2017 and September 2017 Enforcement Advisories, which promised meaningful reductions in penalties where a company or individual self-reports, fully cooperates, and takes remedial measures (see our January 2017 and September 2017 client briefings). [read post]
23 May 2009, 10:11 pm
News release: "Securities and Exchange Commission Chairman Mary Schapiro outlined a series of measures the agency is taking to strengthen... [read post]
4 Mar 2010, 5:17 pm
On March 4, 2010, the Securities and Exchange Commission filed a complaint against a purported psychic who fraudulently raised $6 million after telling investors he could predict stock market highs and lows. [read post]
25 Apr 2016, 8:11 am
On April 15, 2016, the Securities and Exchange Commission adopted final rules modifying regulations “for security-based swap dealers and major security-based swap participants (security-based swap entities). [read post]
18 Nov 2021, 1:35 pm
The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as…Read the Full Press ReleaseHave a securities law question? [read post]
2 Nov 2023, 7:32 am
The Securities and Exchange Commission today adopted new Regulation SE under the Securities Exchange Act of 1934 to create a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). [read post]
23 Oct 2017, 4:19 am
Securities and Exchange Commission issued three No-Action Letters regarding the U.S. [read post]
5 Mar 2015, 6:37 am
The topic of venture exchanges and small-cap securities will be examined at a Senate Banking Committee subcommittee hearing on March 10. [read post]
13 Sep 2011, 3:19 pm
(“D&T Shanghai”) in United States District Court for the District of Columbia for failing to produce documents related to the SEC’s investigation into possible securities fraud by the Shanghai-based public accounting firm’s longtime client Longtop Financial Technologies Limited, a foreign private issuer the securities of which are registered with the SEC and traded on U.S. markets. [read post]
26 Mar 2009, 2:23 pm
The GAO released a report on Securities and Exchange Commission: Oversight of U.S. [read post]
3 May 2016, 12:44 pm
., May 3, 2016 – The Securities and Exchange Commission has approved amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Securities Exchange Act of 1934. [read post]
25 Jan 2008, 5:15 am
In Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure I took the position that the Commission was increasingly using disclosure to affect substantive behavior by officers and directors. [read post]
20 Aug 2010, 5:24 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] announced [press release] Wednesday that it has charged [order, PDF] the state of New Jersey with securities fraud for failing to disclose to municipal bond investors that it was underfunding two of the state's largest pension plans. [read post]
