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13 May 2024, 3:20 am
The SEC’s notable absence from the joint agency action on Section 956 of Dodd-Frank Act inevitably makes one wonder, where are we on SEC rulemaking? [read post]
7 Feb 2013, 4:08 am
Reactions to New SEC Chair Mary Jo White In the wake of Mary Jo White being nominated as the new SEC Chair, here are some reactions: - DealBook's "How Mary Jo White's Connections Could Complicate Her SEC Job" - Rolling Stone's "Choice of Mary Jo White to Head SEC Puts Fox In Charge of Hen House" - Rolling Stone's "New SEC Chief Mary Jo White Thinks the Government Should Bring Cases - 'To A Point'" - WSJ's "SEC Nominee Signals Shift" -… [read post]
11 Nov 2009, 4:52 pm
And did the SEC’s random compliance inspections detect his fraudulent scheme? [read post]
7 Feb 2023, 9:05 pm
Take the SEC Whistleblower Program. [read post]
7 Mar 2023, 7:35 am
Over the last few years, the SEC has adopted several new rules that include compliance obligations. [read post]
28 May 2015, 7:00 am
“She questioned my loyalty to the SEC,” Ms. [read post]
15 Oct 2018, 6:43 am
“The Plan provides a forward-looking framework for making the SEC even more effective, focusing on the most important goals and initiatives that will best position the SEC to fulfill our mission,” said SEC Chairman Jay Clayton. [read post]
30 Jul 2010, 3:00 am
Earlier this month, the SEC approved changes to Form ADV, Part II, for registered investment advisers. [read post]
14 Jan 2008, 7:30 pm
What does the letter from the SEC to Usana really mean? [read post]
9 Dec 2009, 6:08 am
Ever since the mis-steps of the SEC have come to light, the SEC has been pouncing on various frauds and schemes and taking swift action. [read post]
25 Sep 2023, 2:26 pm
Grewal, Director of the SEC’s Division of Enforcement. [read post]
22 Jun 2023, 5:50 am
Crypto giant Coinbase filed a rulemaking petition with the SEC last July. [read post]
26 Aug 2011, 10:39 am
SEC rules impose a ”quiet period” in connection with an initial public offering. [read post]
31 Oct 2011, 7:11 pm
See here for the Dealbook Report on SEC order [read post]
26 Jul 2012, 11:40 am
Securities and Exchange Commission ("SEC"), SEC investigators intend to recommend that the SEC bring civil charges against the City of Miami for alleged violations of the Securities Acts of 1933 and the Exchange Act of 1934. [read post]
19 Mar 2024, 4:38 am
Sources: SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence SEC Order – Delphia SEC Order – Global Predictions SEC Chair Warns Against “AI Washing” by Kevin LaCroix [read post]
20 Apr 2011, 11:12 pm
SEC Schedules an IFRS Roundtable for July In a sign that the SEC is continuing to consider the implementation of International Financial Reporting Standards, the SEC just announced a roundtable on July 7th for the purpose of discussing topics such as investor understanding of IFRS and the impact on smaller public companies and on the regulatory environment of incorporating IFRS. [read post]
30 Jul 2017, 11:36 am
Former Orem, Utah broker Clark Gardner has been barred by FINRA and the SEC In June, 2016 the SEC announced a bar against former Sammons Securities and Cetera Advisors broker Clark Gardner. [read post]
19 May 2022, 5:13 pm
CRS Insight: Overview of the SEC Climate Risk Disclosure Proposed Rule, May 17, 2022 “On March 21, 2022, the Securities and Exchange Commission (SEC) voted 3-1 to issue sweeping proposed climate-related disclosure rules for public companies. [read post]
31 Oct 2017, 4:28 am
In addition to data analytics, the SEC will rely upon tips, complaints and referrals that come into the SEC. [read post]
