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29 May 2019, 2:19 pm
To date, the SEC has issued about $381M in whistleblower awards. [read post]
28 Sep 2008, 5:10 am
Thus, there is not currently a regulatory gap in this area.Under the Memorandum of Understanding between the SEC and the Federal Reserve that was executed in July of this year, said the chair, the SEC will continue to work closely with the Fed, but focused even more clearly on its statutory obligation to regulate the broker-dealer subsidiaries of the banking conglomerates. [read post]
20 May 2021, 9:32 am
The SEC today awarded a whistleblower a sum of $28M after providing the SEC with information that led to a successful enforcement action and a second related action with another federal agency. [read post]
23 Oct 2019, 9:19 am
On Monday of this week the SEC addressed its enforcement initiatives for the coming year. [read post]
5 Dec 2013, 11:00 am
The SEC views this collaboration as efficient while others view it in the extreme. [read post]
24 Oct 2017, 9:11 am
SEC Cyber Unit Continue reading The post SEC and FINRA Focus On Customer Account Hack Threats appeared first on Investor Lawyers Blog. [read post]
19 May 2023, 3:00 am
Does the SEC face obstacles in proposing related rulemaking? [read post]
23 May 2022, 9:11 am
This will be appealed, as it strikes at the core of the SEC matrix of enforcement and is a bell-weather case for many other governmental agencies. [read post]
30 Oct 2020, 11:16 am
Of particular note, we convinced the SEC to increase our client’s award after SEC recommended a lower amount, which the SEC very rarely does. [read post]
8 Jul 2008, 9:19 pm
SEC Report Finds Deficiencies in Credit Ratings of Mortgage-BackedSecuritiesAgainst the backdrop of impending regulatory reform of credit rating agencies by the SEC and the European Commission, an SEC report found that the rating agencies did not properly manage conflicts of interest in rating asset-backed securities during the subprime era. [read post]
20 Jun 2008, 10:38 pm
The SEC has also engaged both international and domestic regulators in a cooperative manner to provide information and to discuss the broader policy implications of these events.The SEC has also enhanced liquidity requirements for CSE firms. [read post]
18 Apr 2010, 8:16 am
It is also extremely difficult to locate the Report on the SEC’s website. [read post]
12 Sep 2022, 1:12 pm
” The Success of the SEC Whistleblower Program The SEC Whistleblower Program has been very successful. [read post]
3 Sep 2006, 1:45 pm
The SEC makes a strong argument for the fact that the members are inferior officers who report to their superior, namely the SEC. [read post]
22 Oct 2009, 10:07 am
Today, the SEC launched its new investor-focused website, Investor.gov, which aims to help investors invest wisely, avoid fraud and plan for their future. [read post]
17 Dec 2008, 1:15 pm
The failure highlights a structural problem within the SEC. [read post]
22 Sep 2008, 12:57 pm
SEC Amends Orders Halting Short Selling in Stocks of Financial Institutions and Requiring Hedge Funds to Report Short PositionsThe SEC has amended its emergency orders prohibiting short selling in 799 financial companies and requiring institutional money managers to report their new short sales of certain publicly traded securities.The SEC issued a new disclosure rule requiring hedge funds and other large investors to disclose their short positions in order to ensure… [read post]
28 May 2021, 6:01 am
Securities and Exchange Commission has indicated that ESG disclosure regulation will be a central focus of recently confirmed SEC Chair Gary Gensler’s tenure. [read post]
9 Jul 2018, 6:25 am
SEC, [1] holding that SEC ALJs qualify as Officers of the United States under the Constitution and are therefore subject to the Appointments Clause of the Constitution, is likely to have far-reaching consequences for other federal agencies that rely on ALJs. [read post]
4 Mar 2022, 8:00 am
The SEC charged VerdeGroup Investment Partners, Inc. [read post]
