Search for: "US Securities and Exchange Commission"
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27 Oct 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on October 26, 2022, that it has adopted new rules directing national securities exchanges, including the New York Stock Exchange and Nasdaq, to establish listing standards requiring companies to implement ”clawback” policies providing for the recovery of incentive-based compensation in the event of a required accounting restatement, and requiring companies to provide… [read post]
1 May 2023, 10:00 pm
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), new rules directing national securities exchanges, including the New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq), to adopt listing standards for compensation recovery (clawback) policies were announced on October 26, 2022 by the US Securities and Exchange Commission (SEC). [read post]
23 Feb 2018, 4:00 am
A federal court ordered the man to stop selling securities, following a Securities and Exchange Commission investigation in 2014 The man pleaded not guilty to the charges. [read post]
15 Nov 2016, 12:26 pm
The US Securities and Exchange Commission (SEC) and the House of Representatives Ways and Means Committee [official websites], as well as an ex-staff member, reached an agreement [stipulation, PDF] to provide requested material to the SEC in relation to an insider trading investigation. [read post]
17 May 2022, 6:50 am
The Securities and Exchange Commission (SEC) today charged Allianz Global Investors U.S. [read post]
1 Nov 2023, 9:40 am
The Securities and Exchange Commission today charged SafeMoon LLC, its creator Kyle Nagy, SafeMoon US LLC, and the companies’ Chief Executive Officer, John Karony, and Chief Technology Officer, Thomas Smith, for perpetrating a massive fraudulent scheme…Read the Full Press Release Have a securities law question? [read post]
12 Dec 2019, 7:09 am
One set includes UK exchanges and is to be used where the UK and EU reach a deal. [read post]
18 Dec 2008, 8:04 am
[JURIST] US President-elect Barack Obama [transition website] on Thursday named [press release] Mary Schapiro [professional profile] as the Chairman of the Securities and Exchange Commission (SEC) [official website]. [read post]
4 Dec 2020, 9:44 am
Securities and Exchange Commission said Friday that The Cheesecake Factory settled charges that it misled investors on the impact the pandemic was having on its business. [read post]
2 Nov 2011, 5:43 am
TRANSPARENCY: CREW calls for investigation into use of private email accounts at SEC. “Today Citizens for Responsibility and Ethics in Washington (CREW) called on the Securities and Exchange Commission’s (SEC) Inspector General (IG), H. [read post]
21 Mar 2018, 5:00 am
Securities fraud plea ends controversial CEO’s tenureLast week, the Securities and Exchange Commission announced a $700 million securities fraud settlement against Theranos CEO Elizabeth Holmes. [read post]
5 Jun 2009, 3:57 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] on Thursday charged [complaint, PDF] former Countrywide Financial Corporation officials with securities fraud arising from misleading investors. [read post]
8 Apr 2008, 2:44 am
[JURIST] The US Securities and Exchange Commission (SEC) sued five former San Diego city officials in federal court Monday, alleging they committed securities fraud by failing to disclose funding shortfalls in the city's pension and health care plans to potential buyers and sellers of San Diego's municipal bonds. [read post]
17 Mar 2003, 3:03 pm
[JURIST] The US Securities and Exchange Commission [official website] Monday charged the Merrill Lynch investment firm and four of its former senior executives with aiding and abetting securities fraud by Enron Corporation. [read post]
31 Jul 2023, 11:26 am
Securities and Exchange Commission and the Commodity Futures Trading Commission over its employees’ use of messaging applications that broke record-keeping rules. [read post]
30 Nov 2020, 6:09 am
The defining difference between them is that exchanges choose to register as self-regulatory organizations, with closer supervision by the Securities and Exchange Commission (“SEC”), while ATSs make use of an exemption from registration as exchanges to operate in a less regulated environment. [read post]
31 Aug 2017, 1:19 pm
A review of the Securities and Exchange Commission’s records reveals that the SEC is pursuing claims related to four oil and gas scams in the last two months alone. [read post]
1 Aug 2014, 4:30 pm
The Securities and Exchange Commission (SEC) is the primary governmental agency that oversees the securities industry. [read post]
26 Jan 2010, 8:58 pm
Court of Appeals for the Fifth Circuit has affirmed the Securities and Exchange Commission’s lifetime bar against a former Southwest Securities Inc. stockbroker. [read post]
18 Sep 2023, 10:00 pm
Many of those changes, including amendments to the Investment Advisers Act of 1940 by the US Securities and Exchange Commission (SEC), new beneficial owner requirements under the Financial Crimes Enforcement Network’s (FinCEN’s) Corporate Transparency Act, sweeping new HartScott-Rodino Act (HSR) rules by the US Federal Trade Commission (FTC), and Internal Revenue Service (IRS) regulations regarding the exemption for… [read post]
