Search for: "Securities and Exchange Commission"
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20 Nov 2009, 3:12 pm
Securities and Exchange Commission, Before the House Committee on Financial Services, October 7, 2009. [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]
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]
4 Mar 2011, 7:16 am
Securities and Exchange Commission, before the United States Senate Committee on Agriculture, Nutrition and Forestry on... [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]
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]
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]
1 Oct 2017, 9:08 pm
Shiu-Yik Au has posted The Effectiveness of SEC Enforcement in Deterring Financial Misconduct on SSRN with the following abstract: This paper examines how the Securities and Exchange Commission’s (SEC) enforcement actions and whom they target deter future financial misconduct. [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]
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]
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]
17 Oct 2014, 7:31 am
Gallagher delivered remarks on The Securities and Exchange Commission—the Next 80 Years. [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]
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]
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]
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]
8 Dec 2015, 10:30 am
Under Dodd-Frank, the Office of the Whistleblower was established for the Securities Exchange Commission (SEC) to encourage those who have information about securities and commodities laws violations to notify the authorities. [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]
16 Jul 2019, 5:13 pm
Now lawyers for the Securities Exchange Commission say Musk violated a settlement agreement in that case by talking too much […] The post Elon Musk Accused of Violating Securities Fraud Settlement appeared first on Glancy Prongay & Murray LLP. [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]
