Search for: "Securities and Exchange Commission"
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1 Oct 2019, 11:20 am
On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in securities fraud. [read post]
12 Jul 2012, 11:03 am
Securities and Exchange Commission through disguised transactions and insider trading that involved a foreign company. [read post]
15 Sep 2022, 6:30 am
On September 14, 2022, Western International Securities, Inc. filed its Answer to the Securities and Exchange Commission’s Complaint denying that the firm violated the standards under Regulation Best Interest (“Reg BI”) in approving, recommending, and supervising the sale of speculative, high-risk, and illiquid L Bonds issued by GWG Holdings, Inc. [read post]
1 Mar 2010, 2:52 am
The Securities and Exchange Commission Feb. 24 voted unanimously to issue a statement making clear its commitment to a single set of globally accepted accounting standards but also stated that the move to international standards would be delayed. [read post]
6 Jun 2003, 9:29 am
On June 6, 1934, the US Securities and Exchange Commission was established to protect the interests of investors. [read post]
18 May 2011, 9:03 am
The Securities and Exchange Commission proposed sweeping new rules to overhaul the credit rating business. [read post]
19 Jun 2012, 6:34 am
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray into the world of […] [read post]
1 Jul 2009, 10:05 pm
News release: "The Securities and Exchange Commission voted on three measures that are intended to better inform and empower investors... [read post]
4 Feb 2011, 11:57 am
The Securities and Exchange Commission on Friday moved to fill a key vacancy at the agency, promoting Mark D. [read post]
12 Nov 2011, 9:12 am
News release: "The Securities and Exchange Commission today announced that the agency filed a record 735 enforcement actions in the... [read post]
2 May 2008, 10:50 pm
News release: "The Securities and Exchange Commission today announced that investors awaiting their refund checks from the Internal Revenue Service... [read post]
31 Aug 2011, 10:30 am
The Securities and Exchange Commission is considering whether to place tougher restrictions on derivatives used by mutual funds. [read post]
11 May 2012, 9:47 am
The Securities and Exchange Commission recently opened a preliminary investigation into JPMorgan's accounting practices and public disclosures about the trades. [read post]
SEC Staff Issues Summary Report of Sweep Examination of Structured Products Sold to Retail Investors
27 Jul 2011, 3:17 pm
News release: "The Securities and Exchange Commission staff today issued a report identifying common weaknesses seen in sales of structured... [read post]
19 Aug 2011, 11:11 am
The accused trader, Toby Scammell, explains why he is fighting back against the Securities and Exchange Commission in an interview with DealBook. [read post]
2 Nov 2011, 10:09 pm
Report of Investigation, United States Securities and Exchange Commission, Office of Inspector General. [read post]
7 Apr 2008, 10:19 pm
News release: "The Securities and Exchange Commission...took action to stop a sophisticated Internet scheme that stole the identities of unsuspecting... [read post]
22 Dec 2008, 10:40 pm
News release: "The Securities and Exchange Commission has voted to require public companies and mutual funds to use interactive data... [read post]
21 Jul 2010, 3:03 pm
The Securities and Exchange Commission voted unanimously to propose a reduction in the fees that mutual fund investors pay for sales and marketing activities of brokers. [read post]
14 Jul 2010, 8:14 am
The Securities and Exchange Commission plans to vote on Wednesday whether to seek public comment on the accuracy of proxy voting in the United States. [read post]
