Search for: "Securities and Exchange Commission"
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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]
5 Apr 2010, 2:22 pm
New concerns are being raised about lawyers leaving the Securities and Exchange Commission and immediately defending companies before the agency. [read post]
30 Jul 2012, 9:39 am
Two recent cases filed by the Securities and Exchange Commission show how malleable the term "insider trading" can be. [read post]
21 May 2011, 10:12 pm
Fact Sheet: "The Securities and Exchange Commission [May 18, 2011] voted unanimously to propose new rules and amendments intended to... [read post]
22 Sep 2010, 12:15 pm
The Securities and Exchange Commission is investigating a hedge fund whose main business is in investments known as PIPEs, Matthew Goldstein of Reuters reports. [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]
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]
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]
20 Apr 2009, 7:09 am
The Securities and Exchange Commission, Department of Enforcement’s Manual (the Red Book) is available online. [read post]
16 Dec 2011, 2:28 pm
The House Financial Services Committee is concerned that the Securities and Exchange Commission's practice of accepting no-contest settlements obscures transparency. [read post]
22 Sep 2008, 12:04 am
Securities and Exchange Commission today approved amendments to its emergency order of September 18 (Release No.... [read post]
15 Jul 2010, 4:41 pm
Goldman Sachs said in a statement that its $550 million settlement with the Securities and Exchange Commission was "the right outcome. [read post]
10 Nov 2010, 2:25 pm
A partner at WilmerHale has been named chief counsel of the Securities and Exchange Commission's division of enforcement. [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]
9 Feb 2011, 2:39 pm
News release: "The Securities and Exchange Commission today voted unanimously to propose amendments to its rules that would remove credit... [read post]
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]
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]
31 Oct 2010, 10:10 pm
News release: "The Securities and Exchange Commission's Office of the Chief Accountant and Division of Corporation Finance today published their... [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]
