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14 Jun 2013, 2:29 pm
This is a twist that we haven't seen since the SEC went after the NASD. [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]
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]
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]
5 Mar 2013, 7:00 am
Previously, the SEC extended several deadlines, and allowed certain exemptive forms to be used. [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]
16 Jan 2009, 2:24 am
Schapiro said that "it is imperative that the SEC [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]
13 Oct 2006, 9:44 am
SEC Announces Meeting on Sarbanes-Oxley Rules [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]
12 Jun 2007, 5:15 am
See SEC v. [read post]
22 Mar 2016, 5:00 am
According to this Bloomberg article, SEC Chief Accountant James Schnurr told attendees at the recent, annual “SEC Speaks” conference that the SEC will deem the views of the FASB/IASB Joint Transition Resource Group (TRG) for Revenue Recognition to be practical guidance for purposes of implementing the new standard, and will expect companies to adhere to those views despite the fact that the TRG’s views are not FASB or IASB authoritative… [read post]
24 May 2016, 6:22 am
However, because of SEC’s tripartite mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation, it is not obvious how SEC monitoring of foreign firms compares with US firms. [read post]
