Search for: "Securities and Exchange Commission"
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11 Oct 2011, 4:20 pm
After pushing the envelope in accounting and corporate governance, Groupon and Zynga have shown the value of standards enforced by the Securities and Exchange Commission. [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]
21 Jan 2011, 1:31 am
Life Partners Holdings on Thursday acknowledged it was under investigation by the Securities and Exchange Commission, confirming a story in The Wall Street Journal. [read post]
8 Nov 2011, 3:44 pm
The penalty is the largest ever assessed against a person in a Securities and Exchange Commission insider trading case. [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]
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]
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]
2 Sep 2010, 3:55 pm
News release:" The Securities and Exchange Commission today announced that it has adopted a temporary rule requiring municipal advisors to... [read post]
10 Dec 2024, 12:43 pm
Morgan Stanley Smith Barney will pay a $15 million penalty as part of a settlement with the Securities and Exchange Commission. [read post]
9 Mar 2010, 10:48 am
On March 4, 2010, the Securities and Exchange Commission filed a civil fraud lawsuit against nationally recognized psychic Sean David Morton and three companies he owns under the name Delphi Associates Investment Group (andquot;Delphiandquot;). [read post]
6 Sep 2012, 5:41 am
Securities and Exchange Commission. [read post]
5 Nov 2010, 7:26 am
On November 3, the Securities and Exchange Commission issued a proposed rule implementing a program to pay eligible whistleblowers rewards for providing information about federal securities violations. [read post]
9 May 2018, 5:00 am
Following Citadel I, certain securities firms (the "Market Makers") filed a petition with the Commission against the Chicago Board Options Exchange and Nasdaq. [read post]
17 Dec 2020, 6:19 am
Securities and Exchange Commission. [read post]
16 Apr 2010, 11:17 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] filed a civil suit [complaint, PDF] on Friday alleging securities fraud against Goldman, Sachs & Co. [read post]
4 Sep 2008, 5:31 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website; JURIST news archive] has charged [complaint, PDF] two former brokers for Credit-Suisse [corporate website; JURIST news archive] with defrauding clients of $1 billion by selling subprime securities that they represented as being backed by government-guaranteed student loans. [read post]
4 Mar 2010, 11:23 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Sean David Morton of Manhattan Beach, California, alleging that Morton falsely claimed he would use his psychic expertise to provide investment guidance. [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]
5 Sep 2014, 2:04 pm
The press release states in part: The Securities and Exchange Commission today announced that Tracey L. [read post]
2 Sep 2009, 2:20 pm
The SEC released today the REPORT OF INVESTIGATION, UNITED STATES SECURITIES AND EXCHANGE COMMISSION OFFICE OF INSPECTOR GENERAL, Case No. [read post]
