Search for: "Securities and Exchange Commission"
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13 Jul 2009, 4:06 pm
The Securities and Exchange Commission released a Statement for the Record Before the House of Representatives Committee on Financial Services, Subcommittee on Oversight and Investigations, on July 13 in connection with the Subcommittee's hearing entitled, "Preventing Unfair Trading by Government... [read post]
6 May 2009, 11:41 am
As the report explains, The Securities and Exchange Commission's (SEC) Division of Enforcement (Enforcement) plays a key role... [read post]
18 Jun 2023, 5:17 am
Securities and Exchange Commission Chair Gary Gensler’s regulation of crypto is an uneven mess; digital-coin exchanges get approved by the commission to go public, only to be sanctioned later for selling crypto the agency doesn’t like. [read post]
3 Apr 2017, 8:23 pm
Securities and Exchange Commission 16-906 Issues: (1) Whether Congress authorized federal district court jurisdiction over appointments clause challenges to Securities and Exchange Commission administrative law judges; and (2) whether SEC ALJs are inferior officers within the meaning of the appointments clause. [read post]
17 Sep 2009, 6:05 am
Securities and Exchange Commission (SEC)". [read post]
15 Dec 2021, 8:06 am
The Securities and Exchange Commission today proposed amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 to enhance disclosure requirements and investor protections against insider trading. [read post]
14 Jan 2014, 6:25 am
Securities and Exchange Commission. [read post]
20 Mar 2015, 8:54 am
Securities and Exchange Commission, came out in favor of creating of new rules to harmonize standards of care between investment advisers and brokers. [read post]
19 Oct 2009, 10:09 am
The Securities and Exchange Commission (SEC) recently fined a broker-dealer and investment adviser $100,000 for failing to protect the privacy of customer information. [read post]
5 Jan 2013, 6:28 am
Securities and Exchange Commission (“SEC”) issued a Wells Notice based on a social media communication. [read post]
19 Dec 2019, 6:21 am
Securities and Exchange Commission. [read post]
16 Nov 2007, 7:29 am
In a very important vote, the Securities and Exchange Commission dropped a requirement that foreign companies with United States trading exchange listings that comply with rules set by the International Accounting Standards Board (ISAB) still must reconcile their accounting records... [read post]
18 Feb 2004, 5:18 am
AP reports today that five top specialist firms on the New York Stock Exchange have tentatively agreed to a $240 million settlement with the Securities and Exchange Commission over allegations of "front-running," Wall Street [read post]
11 Jun 2012, 1:23 pm
The Securities and Exchange Commission plans rules that will require companies to trade most derivatives contracts through regulated exchanges and force most derivatives deals to go through clearinghouses. [read post]
28 Oct 2010, 3:25 am
The Securities and Exchange Commission is poised to ban brokers from letting clients make unsupervised trades on stock exchanges, reflecting its concern that a rogue transaction could upset markets. [read post]
31 Aug 2010, 11:13 pm
The Securities and Exchange Commission said Tuesday that it had declined to charge Moody's Investors Service for violating securities laws by failing to comply with its own procedures for rating complex derivative securities in 2007. [read post]
19 Nov 2021, 2:03 am
The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap… [read post]
7 Jun 2023, 8:30 am
The Securities and Exchange Commission today adopted rules to prevent fraud, manipulation, and deception in connection with security-based swap transactions and to prevent undue influence over the chief compliance officer (CCO) of security-based swap…Read the Full Press Release Have a securities law question? [read post]
16 Aug 2018, 7:52 am
Useful tips from whistleblowers have helped the Securities and Exchange Commission recover over $1 billion in enforcement actions. [read post]
4 Dec 2024, 3:15 pm
Securities and Exchange Commission (SEC) Commissioner Paul Atkins to head the agency. [read post]
