Search for: "Securities and Exchange Commission"
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23 Aug 2007, 7:43 am
Securities and Exchange Commission (SEC) Chairman Christopher Cox recently delivered an SEC staff "white paper" to Congress that calls for significant improvements in disclosure and accounting in the municipal securities market to better protect investors. [read post]
20 Jun 2012, 11:45 am
On June 20, 2012, the Securities and Exchange Commission ("SEC") approved a new rule that directs national securities exchanges to adopt listing standards for public company boards of directors and compensation advisers. [read post]
9 May 2018, 6:02 am
Securities and Exchange Commission (SEC) might bar IPO-related lawsuits in lieu of arbitration. [read post]
3 Dec 2021, 10:40 am
The Securities and Exchange Commission today announced that Ernesto A. [read post]
26 Sep 2011, 11:59 am
White Collar Watch examines the Securities and Exchange Commission's first insider trading case involving an exchange-traded fund. [read post]
3 Jan 2010, 4:55 am
Open Letter to the Securities and Exchange Commission: After carefully examining certain conflicting and contradictory disclosures by Overstock.com (NASDAQ: OSTK), I recommend that you should also investigate whether the company engaged in improper audit "opinion shopping" in hiring both Grant Thornton, who replaced PricewaterhouseCoopers (PWC) as the company's auditors and KMPG, who replaced Grant Thornton after they were fired by the company. [read post]
15 Jul 2010, 1:17 pm
Update: Goldman Sachs has agreed to pay $550 million to the Securities and Exchange Commission over a securities fraud case involving a mortgage-linked security. [read post]
10 Sep 2017, 6:15 am
Securities and Exchange Commission (SEC) which disclosed a patent assignment agreement made with Armonk, NY-based information technology giant IBM (NYSE:IBM). [read post]
24 Apr 2018, 8:08 am
Securities and Exchange Commission [transcript, PDF] the court heard arguments on whether administrative law judges of the Securities and Exchange Commission (SEC) [official website] are officers of the United States within the meaning of the Appointments Clause [art. [read post]
30 Mar 2018, 2:38 pm
On March 27, 2018 the Securities and Exchange Commission (“SEC”) announced charges against Wedbush Securities Inc. [read post]
30 Mar 2018, 2:38 pm
On March 27, 2018 the Securities and Exchange Commission (“SEC”) announced charges against Wedbush Securities Inc. [read post]
6 Jul 2012, 3:26 pm
The Securities and Exchange Commission has approved a controversial pilot proposal from the New York Stock Exchange that will result in some stock trades being diverted away from the traditional exchange. [read post]
7 Sep 2018, 5:00 am
Securities Fraud Charges Hit Sherman Oaks Real Estate FirmThe Securities and Exchange Commission filed securities fraud charges against five Florida residents last month. [read post]
20 Feb 2020, 9:00 am
The Commission added that it expresses no view on the question of whether the Securities Act applies to Gram. [read post]
21 Aug 2010, 8:25 am
Journal: “The Securities and Exchange Commission, in its first securities-fraud case against a state, accused New Jersey of misleading investors about the health of its two largest state pensions while selling billions of dollars in bonds. [read post]
9 Feb 2012, 12:45 pm
Commodity Futures Trading Commission and the Securities Exchange Commission released a joint report on how swaps and security-based swaps are regulated internationally. [read post]
17 Feb 2009, 7:44 am
Securities and Exchange Commission. [read post]
31 Jan 2014, 1:46 pm
Robert Brown Jr. has published Selling Equity Through Crowdfunding: A Comment on SSRN with the following abstract: The Securities and Exchange Commission has proposed rules that will implement the crowfunding exemption set forth in the JOBS Act. [read post]
4 Sep 2015, 7:39 am
Securities and Exchange Commission (SEC). [read post]
31 Mar 2023, 6:45 am
The Securities and Exchange Commission today opened public registration for its Municipal Securities Disclosure Conference, which will be held on May 10, 2023, at the SEC’s headquarters. [read post]
