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25 Apr 2007, 11:41 am
SEC Promotes IFRS for Foreign and Domestic IssuersIn an announcement of enormous import, the SEC said that it would consider giving US issuers the choice of reporting financial statements in GAAP or international financial reporting standards. [read post]
7 Jul 2022, 1:15 pm
Continue reading › The post SEC Releases Staff Bulletin for Account Recommendations appeared first on RIA Compliance Blog. [read post]
29 Jan 2008, 4:02 am
SEC Official Discusses Executive Compensation DisclosureThe SEC seeks better executive compensation disclosure, stated Shelley E. [read post]
4 Nov 2021, 12:10 pm
Could the SEC action be seen as proof that one must be careful what one asks for? [read post]
19 Apr 2018, 12:42 pm
The SEC yesterday proposed significant new regulations affecting the relationship between investment advisors and retail customers. [read post]
21 Jul 2021, 1:40 pm
SEC Commissioner Hester Pierce's analysis of the potential SEC rule making on ESG disclosures is one of the best things I have read on the topic. [read post]
23 Aug 2023, 4:00 am
SEC, August 9, 2023).First Amendment. [read post]
18 Aug 2008, 8:38 pm
And, promised the SEC chair, this is just the beginning.Currently a foreign exchange conducting business in the United States has to register the exchange and the securities trading on it with the SEC. [read post]
23 Oct 2006, 12:06 pm
The brief also posits that the SEC is a Department within the meaning of Article 2 and the SEC Commissioners are properly the Head of this Department. [read post]
19 Jun 2024, 6:30 am
SEC chair Gary Gensler has highlighted that discontinuities in capital market regulation due to SEC shutdowns can impact corporate governance if the SEC cannot fulfil its oversight mandate, even temporarily. [read post]
19 Jun 2024, 6:30 am
SEC chair Gary Gensler has highlighted that discontinuities in capital market regulation due to SEC shutdowns can impact corporate governance if the SEC cannot fulfil its oversight mandate, even temporarily. [read post]
9 Sep 2020, 4:39 pm
An expanded universe of individuals and entities will be able to participate as “accredited investors” in securities offerings as a result of recent SEC rulemaking. [read post]
12 Nov 2016, 7:12 am
In fact, last year, over 90% of the SEC’s actions against public companies were brought to the SEC’s ALJs—whereas five years ago, only 33% of those cases were brought as ALJ proceedings. [read post]
13 Feb 2008, 7:47 am
Unfortunately, this latest action by the SEC should not be a surprise to investors based on the SEC's prior decisions on this critical issue of granting shareholders more access to proxies. [read post]
26 Jan 2009, 3:14 am
SEC Chair Schapiro Cautions on IFRS RoadmapSEC Chair Mary Schapiro said the Commission would proceed to implement IFRS with great caution in order to avoid a race to the standard setting bottom. [read post]
24 Aug 2024, 8:20 am
He also represents whistleblowers in major claims under the SEC, CFTC and FINCEN whistleblower programs and can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post SEC investigating cash sweeps that paid the clients “peanuts” according to former SEC Commissioner appeared first on Jeff Newman Law. [read post]
24 May 2012, 6:25 pm
The SEC barred Spencer Barasch, a former enforcement official in the Commission’s Fort Worth office, from appearing and practicing before the Commission for one year for violating federal conflict of interest rules. [read post]
21 Sep 2009, 12:28 pm
While the public awaits a report from the SEC's Office of the Inspector General, determining why the SEC failed to detect the Madoff scheme, the SEC is taking the opportunity to explain its "decisive and comprehensive steps to reduce the chances that such frauds will occur or be undetected in the future. [read post]
5 Jul 2022, 3:35 am
The SEC Order specifies that between 2015 and 2016, Brinks’s legal department received multiple legal updates from outside counsel highlighting new SEC enforcement actions for violations of Rule 21F-17(a). [read post]
25 Apr 2024, 9:05 pm
The SEC (U.S. [read post]
