Search for: "Securities and Exchange Commission"
Results 701 - 720
of 22,477
Sorted by Relevance
|
Sort by Date
23 Jan 2011, 6:46 am
The Securities Exchange Commission in cooperation with the North American Securities Administrators Association (NASAA) have issued warnings to investors about the risks of peer-to-peer lending via the Web. [read post]
19 Jul 2010, 9:00 am
White Collar Watch examines how the financial regulatory overhaul will expand the authority of the Securities and Exchange Commission and the Commodity Futures Trading Commission, the chief market regulators. [read post]
10 Jul 2009, 12:56 pm
For something that nobody seems to be considering, there was a lot of talk Friday morning about merging the Securities and Exchange Commission and the Commodities Future Trading Commission. [read post]
10 Jan 2011, 3:11 pm
Securities and Exchange Commission (“Commission”) is providing this report... [read post]
30 Sep 2024, 1:29 pm
Securities and Exchange Commission (SEC) reportedly filed a lawsuit against a California-based financial advisor, Robert Vance. [read post]
27 Sep 2007, 5:06 am
The Securities and Exchange Commission has opened an investigation into whether the credit-rating agencies improperly inflated their ratings of mortgage-backed securities because of possible conflicts of interest, the head of the commission told Congress on Wednesday. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
17 May 2022, 6:31 am
These comments relate solely to the Prohibited Activity Rules that would forbid the following terms and conditions in investor advisory agreements: “Charging certain fees and expenses to a private fund or portfolio investment, including accelerated monitoring fees; fees or expenses associated with an examination or investigation of the adviser or its related persons by governmental or regulatory authorities; regulatory or compliance expenses or fees of the adviser or its related persons; or… [read post]
17 May 2022, 6:31 am
These comments relate solely to the Prohibited Activity Rules that would forbid the following terms and conditions in investor advisory agreements: “Charging certain fees and expenses to a private fund or portfolio investment, including accelerated monitoring fees; fees or expenses associated with an examination or investigation of the adviser or its related persons by governmental or regulatory authorities; regulatory or compliance expenses or fees of the adviser or its related persons; or… [read post]
9 Aug 2007, 2:16 pm
According to the Securities and Exchange Commission rules, a public company is required to have an auditor review of quarterly financial statements prior to filing a 10-Q: SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210, 228, 229, and 240 [Release No. 34-42266; File No. [read post]
10 Apr 2014, 9:18 am
On March 10, 2014, the Securities and Exchange Commission (“SEC”) announced that issuers and underwriters of municipal securities may voluntarily report materially inaccurate statements made in offering documents regarding prior continuing disclosure compliance through a program called the Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”). [read post]
1 Aug 2012, 8:52 am
In May 2010, the Commission adopted amendments to Exchange Act Rule 15c2-12 that were aimed at improving the quality and timeliness of municipal securities disclosure. [read post]
14 Mar 2023, 8:38 am
The Securities and Exchange Commission (SEC) has filed a petition for certiorari with the U.S. [read post]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
