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8 Jun 2022, 2:40 pm
The Securities and Exchange Commission today reopened the comment period on proposed rules for listing standards for recovery of erroneously awarded compensation, and staff of the Commission released a memo that contains additional analyses and data that…Read the Full Press ReleaseHave a securities law question? [read post]
22 Mar 2016, 6:19 am
Securities and Exchange Commission. [read post]
17 Jan 2011, 4:54 am
The Securities and Exchange Commission Jan. 14 proposed a new rule under the 1934 Securities Exchange Act to govern how certain security-based swap transactions are acknowledged and verified by the… Read this entire article for free, simply activate your free 15 day trial access to Securities Regulation & Law Report now. [read post]
20 Nov 2009, 3:12 pm
Securities and Exchange Commission, Before the House Committee on Financial Services, October 7, 2009. [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]
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]
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, 10:43 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]
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]
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]
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]
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]
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]
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]
