Search for: "Securities and Exchange Commission"
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23 Nov 2010, 1:01 pm
Jacob Alexander also agreed to pay a $6 million fine to the Securities and Exchange Commission, but did not admit any wrongdoing. [read post]
15 Jun 2010, 8:56 am
Former Mayer Brown corporate partner Joseph Collins has settled charges filed against him by the Securities and Exchange Commission. [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
3 Jul 2007, 3:37 pm
Press release: "The Securities and Exchange Commission has published for public comment a proposal to eliminate the current requirement that... [read post]
3 Nov 2010, 4:00 pm
News release: "The Securities and Exchange Commission today voted unanimously to propose a whistleblower program to reward individuals who provide... [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]
30 Jul 2008, 10:49 pm
News release: "The Securities and Exchange Commission today voted unanimously to provide new guidance to public companies about how to... [read post]
18 Oct 2010, 10:19 pm
News release: "The Securities and Exchange Commission today proposed rules that would enable shareholders to cast advisory votes on executive... [read post]
23 Jan 2011, 9:14 pm
News release: "The Securities and Exchange Commission submitted to Congress a staff study recommending a uniform fiduciary standard of conduct... [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]
25 Jul 2019, 8:32 am
The holding company for Madison Bank of Maryland has chosen to deregister its common stock with the Securities and Exchange Commission. [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]
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]
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]
26 Jul 2011, 9:28 am
The Securities and Exchange Commission unanimously approved a plan to erase references to credit ratings from certain rulebooks. [read post]
4 Jan 2011, 2:15 am
Xpert Financial says the Securities and Exchange Commission has approved a new trading platform for the shares of private companies like Facebook. [read post]
20 Apr 2009, 7:09 am
The Securities and Exchange Commission, Department of Enforcement’s Manual (the Red Book) is available online. [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]
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]
19 Jan 2011, 9:22 pm
SEC Inspector General Reports of Investigation: In recent years, investigations by the Securities and Exchange Commission (SEC) Office of Inspector... [read post]
