Search for: "Securities and Exchange Commission"
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22 Feb 2015, 6:00 am
Securities and Exchange Commission. [read post]
15 Dec 2014, 1:17 pm
” would be inconsistent with the law and, by the authors’ own admission, inconsistent with the current policy and practice of the staff of the Securities and Exchange Commission. [read post]
19 Apr 2010, 2:25 pm
White Collar Watch questions whether Goldman Sachs and the Securities and Exchange Commission ever discussed a settlement of the securities fraud case brought against the firm. [read post]
16 Apr 2010, 2:41 pm
Goldman Sachs and the Securities and Exchange Commission are playing for high stakes if the S.E.C.'s securities fraud case against the firm goes to trial. [read post]
19 Apr 2010, 12:55 pm
The Securities and Exchange Commission's decision to sue Goldman Sachs for securities fraud was split 3-2 along party lines, according to Bloomberg News. [read post]
16 Jul 2010, 8:25 am
White Collar Watch and the Deal Professor examine what Goldman Sachs and the Securities and Exchange Commission achieved by settling the S.E.C.'s securities fraud case. [read post]
18 Jun 2010, 3:29 pm
Goldman Sachs has reportedly asked for more time to respond to the Securities and Exchange Commission's civil charges accusing it of securities fraud. [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]
28 Aug 2020, 12:48 pm
Securities and Exchange Commission adopted final rules that amend the definitions of “accredited investor” and “qualified institutional buyer” which are central to classifying investors that may participate in private offerings and investments under federal securities laws. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
23 Feb 2010, 10:28 pm
Securities and Exchange Commission SEC Toyota’s product defect issues involving accelerator pedal recalls have generated over 60 lawsuits. [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]
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]
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]
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]
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, 10:43 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 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]
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]
