Search for: "Security and Exchange Commission"
Results 781 - 800
of 26,719
Sorted by Relevance
|
Sort by Date
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]
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 Jan 2011, 3:11 pm
Securities and Exchange Commission (“Commission”) is providing this report... [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]
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]
6 Nov 2019, 1:02 pm
The Securities and Exchange Commission today released the agenda for the Tuesday, Nov. 12 meeting of its Small Business Capital Formation Advisory Committee. [read post]
4 Dec 2019, 2:06 pm
The Securities and Exchange Commission today released the agenda for a Dec. 11 telephonic meeting of its Small Business Capital Formation Advisory Committee. [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 Sep 2016, 11:36 am
On August 25, 2016, the Securities and Exchange Commission requested “public comment on disclosure requirements in Subpart 400 of Regulation S-K, including those relating to management, certain security holders, and corporate governance matters. [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]
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]
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]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [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]
