Search for: "Securities and Exchange Commission"
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12 Jul 2011, 1:47 pm
The GAO recently released a report on SECURITIES AND EXCHANGE COMMISSION Existing Post-Employment Controls Could Be Further Strengthened. [read post]
14 Sep 2011, 2:45 pm
establish the Investor Advisory Committee (September 13, 2011): Today, the Securities and Exchange Commission (“SEC”) announced the formation of a new Advisory Committee on Small and Emerging Companies (the “ACSEC”),... [read post]
30 Sep 2010, 12:57 pm
Securities and Exchange Commission, before the United States Senate Committee on Banking, Housing, and Urban Affairs on September... [read post]
31 Mar 2011, 12:13 pm
Securities and Exchange Commission... [read post]
20 Jul 2010, 12:12 pm
Securities and Exchange Commission: Evaluating Present Reforms and Future Challenges before the United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises on... [read post]
22 May 2024, 6:00 am
Securities and Exchange Commission published additional interpretive guidance on reporting material cybersecurity incidents under Form 8-K. [read post]
20 Jul 2011, 3:55 pm
The SEC announced its agenda for an Open Meeting on July 26, 2011: Item 1: The Commission will consider whether to adopt Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act, to establish a large trader... [read post]
22 Jul 2017, 5:55 am
President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange Commission, the White House... [read post]
14 Aug 2014, 2:21 pm
Pollard and Tod Perry have posted 'Grade Incomplete': Examining the Securities and Exchange Commission’s Attempt to Implement Credit Rating and Certain Corporate Governance Reforms of Dodd-Frank on SSRN with the following abstract: Following the financial crisis of 2007-2009,... [read post]
19 Jul 2012, 12:55 pm
(Download GAO.ConflictMinerals.592458[1]) Here is what the Report found: The Securities and Exchange Commission (SEC) has taken some steps toward developing a conflict minerals disclosure... [read post]
15 Aug 2020, 10:51 am
Nils Jonathan Krakow and Timo Schäfer have posted Mutual Funds and Risk Disclosure: Information Content of Fund Prospectuses on SSRN with the following abstract: Mutual funds are mandated by the Securities and Exchange Commission (SEC) to disclose information on their... [read post]
14 Jan 2013, 1:18 pm
Securities and Exchange Commission enforcement cases that involves three key elements: (1) The... [read post]
23 Apr 2012, 1:48 pm
'Hallowed By History, But Not By Reason': Judge Rakoff's Critique of the Securities and Exchange Commission's Consent Judgment Practice, by Michael C. [read post]
9 Jun 2011, 3:51 pm
The SEC announced several forthcoming Open Meetings: Wednesday, June 15, 2011 The Commission will consider whether to propose amendments to Rule 17a-5 – the broker-dealer reporting rule – under the Securities Exchange Act of 1934. [read post]
18 Mar 2011, 5:46 am
Sutherland Asbill & Brennan LLP recently announced the results of its 2011 Sutherland SEC/FINRA Litigation Study – an annual review of the litigated cases brought by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) against... [read post]
30 Jun 2014, 2:34 pm
The press release states: The Securities and Exchange Commission today announced that two new judges and three new attorneys will join the Office of Administrative Law Judges... [read post]
28 Jul 2009, 2:23 pm
The Securities and Exchange Commission today filed two settled enforcement proceedings against Avery Dennison Corporation (Avery), a Pasadena, California-based multinational corporation, alleging violations of the Foreign Corrupt Practices Act (FCPA) in connection with improper payments and promises of improper payments... [read post]
25 Jan 2010, 3:42 pm
Cook jailed for failing to surrender more than $35 million in assets as a result of the Securities and Exchange Commission's fraud charges and asset freeze against him. [read post]
24 Jun 2009, 2:47 pm
The SEC has several important issues on its July 1 meeting agenda: Item 1: The Commission will consider whether to propose amendments to the proxy rules under the Securities Exchange Act of 1934 to set forth requirements for U.S. registrants... [read post]
16 Nov 2011, 12:49 pm
The GAO posted on its website a report, Financial Audit: Securities and Exchange Commission's Financial Statements for Fiscal Years 2011 and 2010 (GAO-12-219 November 15, 2011). [read post]
