Search for: "Securities and Exchange Commission"
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24 Sep 2010, 5:54 pm
On Thursday, September 23rd, the New York Stock Exchange-sponsored commission on corporate governance issued a report that contained 10 core corporate governance principles. [read post]
16 Oct 2009, 8:02 am
Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued a joint report on the issue of regulatory harmonization. [read post]
27 Feb 2019, 2:21 pm
Court of Appeals for the District of Columbia Circuit against the Securities Exchange Commission (“SEC”), seeking review of a controversial transaction fee pilot program, slated to take effect in April. [read post]
28 Jul 2018, 9:16 am
In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program). [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]
30 May 2012, 1:02 pm
Here is its summary: What GAO Found Historically, the Securities and Exchange Commission’s (SEC) oversight of the Financial Industry Regulatory... [read post]
15 Nov 2013, 10:57 am
Fein has posted Meddling in Money Market Funds on SSRN with the following abstract: This paper questions why twelve Federal Reserve Bank presidents have interposed themselves in a rulemaking by the Securities and Exchange Commission concerning money market... [read post]
20 Nov 2009, 3:12 pm
Securities and Exchange Commission, Before the House Committee on Financial Services, October 7, 2009. [read post]
21 Nov 2010, 3:29 am
Here is the abstract: The Securities and Exchange Commission’s (“SEC”) conspicuous failures during the financial crisis of 2008 have... [read post]
8 Apr 2014, 1:31 pm
Larissa Lee has posted The Ban Has Lifted: Now is the Time to Change the Accredited-Investor Standard on SSRN with the following abstract: On July 10, 2013, the United States Securities and Exchange Commission lifted an eighty-year ban on general... [read post]
28 Sep 2015, 10:43 am
Zaring has posted Enforcement Discretion at the SEC on SSRN with the following abstract: The Dodd-Frank Wall Street Reform Act allowed the Securities & Exchange Commission to bring almost any claim that it can file in federal court... [read post]
5 Jun 2009, 6:58 am
Here is the abstract: The Securities and Exchange Commission ("SEC") can investigate and discipline attorneys for "unethical or... [read post]
16 Dec 2015, 3:45 pm
SEC Administrative Proceedings and Prospects for Reform Through Removal Legislation on SSRN with the following abstract: The Securities and Exchange Commission has announced its intention to increase its reliance on administrative proceedings and... [read post]
28 Sep 2015, 10:41 am
Urska Velikonja has posted Reporting Agency Performance: Behind the SEC's Enforcement Statistics on SSRN with the following abstract: Every October, after the end of its fiscal year, the Securities and Exchange Commission releases its annual enforcement report, detailing its activity... [read post]
5 Dec 2024, 6:00 am
Securities and Exchange Commission reporting rules on Form 8-K for material cybersecurity incidents, we provide a high-level overview of the last year’s developments.Continue Reading › [read post]
25 Mar 2014, 4:34 pm
David De Angelis and Yaniv Grinstein have posted Performance Terms in CEO Compensation Contracts on SSRN with the following abstract: In December 2006, the Securities and Exchange Commission issued new rules that require enhanced disclosure on how firms tie CEO... [read post]
8 Apr 2014, 1:28 pm
Larissa Lee has posted Admission of Guilt: Sinking Teeth into the SEC's Sweetheart Deals on SSRN with the following abstract: Throughout its existence, the Securities and Exchange Commission (SEC) has allowed defendants to settle cases without admitting to the allegations... [read post]
17 Oct 2014, 7:31 am
Gallagher delivered remarks on The Securities and Exchange Commission—the Next 80 Years. [read post]
13 Apr 2009, 9:20 am
Here is the abstract: The Securities Exchange Commission has introduced a "Roadmap" that describes a process leading... [read post]
4 Mar 2011, 7:16 am
Securities and Exchange Commission, before the United States Senate Committee on Agriculture, Nutrition and Forestry on... [read post]
