Search for: "Securities and Exchange Commission"
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20 May 2009, 11:48 am
The Securities and Exchange Commission proposed rules on Wednesday that would make it possible for a company's shareholders to elect a limited number of independent directors, commission officials said. [read post]
19 May 2009, 4:38 pm
The Securities and Exchange Commission will propose new rules on Wednesday that would make it possible for a company's shareholders to elect a limited number of independent directors, according to commission officials. [read post]
10 Feb 2011, 12:38 pm
The Securities and Exchange Commission's Inspector General David Kotz said the Commission needs more funding to shore up deficiencies underlying regulatory failures and wasteful decisions, according to Jessica Holzer [read post]
23 Feb 2007, 9:08 am
The President's Working Group on Financial Markets (the heads of the Treasury, Federal Reserve, Securities and Exchange Commission and Commodity Futures Trading Commission) issued it report on whether to regulate hedge funds. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
17 Dec 2020, 6:19 am
Securities and Exchange Commission. [read post]
3 Apr 2023, 10:40 am
The Securities and Exchange Commission today charged New Jersey-based Chatham Asset Management LLC and its founder, Anthony Melchiorre, in connection with improper trading of certain fixed income securities. [read post]
29 Sep 2022, 1:10 pm
The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such…Read the Full Press ReleaseHave a securities law question? [read post]
19 Jul 2024, 10:11 am
The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, and local regulatory and law enforcement professionals to meet quarterly to discuss the latest in…Read the Full Press Release Have a securities law question? [read post]
30 Oct 2023, 1:33 pm
The Securities and Exchange Commission today announced charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
28 Jun 2024, 10:10 am
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking…Read the Full Press Release Have a securities law question? [read post]
28 Jun 2024, 10:30 am
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking…Read the Full Press Release Have a securities law question? [read post]
20 Dec 2024, 8:06 am
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in violation of Rule 503 of Regulation D. [read post]
17 Feb 2023, 8:35 am
The Securities and Exchange Commission today announced charges against former NBA player Paul Pierce for touting EMAX tokens, crypto asset securities offered and sold by EthereumMax, on social media without disclosing the payment he received for the…Read the Full Press ReleaseHave a securities law question? [read post]
21 Nov 2023, 8:15 am
The Securities and Exchange Commission today charged Nadim Ahmed, a New York-based businessman and his companies, NuRide Transportation Group, LLC and NYC Green Transportation Group, LLC, with making fraudulent misrepresentations in securities offerings…Read the Full Press Release Have a securities law question? [read post]
27 Sep 2024, 12:45 pm
The Securities and Exchange Commission today adopted rule and form amendments intended to enhance the security of its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system and improve filers’ access and account management capabilities. [read post]
13 Jul 2023, 8:36 am
The Securities and Exchange Commission today charged Celsius Network Limited (Celsius) and its founder and former CEO, Alex Mashinsky, for violating registration and anti-fraud provisions of the federal securities laws, including by failing to register…Read the Full Press Release Have a securities law question? [read post]
12 Jan 2023, 2:02 pm
The Securities and Exchange Commission today charged Genesis Global Capital, LLC and Gemini Trust Company, LLC for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program. [read post]
