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18 Jul 2009, 5:00 am
The SEC opened its investigation after hearing of a “standing Monday lunch” among three SEC employees. [read post]
31 Jul 2006, 9:22 am
SEC Is Serious About CD&AThe Compensation Disclosure & Analysis discussion newly mandated by the SEC as part of its reform of executive compensation disclosure is destined to become the centerpiece of the new regime. [read post]
3 Apr 2023, 9:48 am
Hiring experienced SEC counsel may greatly increase the probability that the SEC initiates an investigation based on your information. [read post]
28 Mar 2022, 2:25 pm
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
10 Aug 2021, 6:46 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
30 Aug 2023, 9:23 am
An SEC case involving NFTs was inevitable. [read post]
14 Jun 2013, 2:29 pm
This is a twist that we haven't seen since the SEC went after the NASD. [read post]
31 Jan 2023, 11:24 am
Further Reading: The SEC Whistleblower Award Order What is the SEC Whistleblower Program? [read post]
7 Mar 2012, 1:00 pm
Meanwhile the SEC defended its record “noting that the SEC had filed a record 735 enforcement actions in fiscal year 2011, winning more than $2.8 billion in penalties and disgorgement. [read post]
20 Dec 2017, 11:59 am
The SEC’s proposed... [read post]
4 Apr 2022, 5:30 am
SEC v. [read post]
16 Aug 2008, 9:33 pm
The SEC agrees with Mr. [read post]
13 Jan 2004, 8:59 am
The probes were revealed by SEC enforcement chief Stephen Cutler after an SEC examination of 15 large brokerages found that 13 appeared to have given favored treatment [read post]
16 Jan 2009, 2:24 am
Schapiro said that "it is imperative that the SEC [read post]
10 Feb 2012, 8:27 am
For more information, see the SEC’s website. [read post]
5 May 2023, 8:30 am
Securities & Exchange Commission (“SEC”) announced that it has issue an award of nearly $279 million to a whistleblower whose information and assistance led to a successful enforcement of SEC and related actions. [read post]
13 Oct 2006, 9:44 am
SEC Announces Meeting on Sarbanes-Oxley Rules [read post]
27 Jun 2007, 11:30 am
[JURIST] US Securities and Exchange Commission (SEC) [official website; JURIST news archive] chairman Christopher Cox [official profile] defended the SEC's record from Democratic and Republican criticism before the US House Financial Services Committee [official website] Tuesday, testifying [transcript] that the SEC should not be perceived as being either pro or anti-business, but rather as a [read post]
5 Mar 2013, 7:00 am
Previously, the SEC extended several deadlines, and allowed certain exemptive forms to be used. [read post]
12 Jun 2007, 5:15 am
See SEC v. [read post]
