Search for: "Securities and Exchange Commission"
Results 981 - 1000
of 22,154
Sorted by Relevance
|
Sort by Date
31 Mar 2011, 12:13 pm
Securities and Exchange Commission... [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]
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]
25 Sep 2017, 8:13 pm
The press release states in part: The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and protect retail investors. [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]
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]
28 May 2009, 1:01 pm
NASAA today endorsed proposed bipartisan legislation that would require hedge fund advisers to register with the Securities and Exchange Commission under the Investment Advisers Act of 1940. [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]
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]
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]
15 Feb 2011, 1:08 pm
Securities and Exchange Commission before the United States House Financial Services Committee. [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]
5 Sep 2014, 2:04 pm
The press release states in part: The Securities and Exchange Commission today announced that Tracey L. [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]
14 Jan 2013, 1:18 pm
Securities and Exchange Commission enforcement cases that involves three key elements: (1) The... [read post]
9 Dec 2010, 2:10 pm
The SEC released the agenda for its December 15, 2010 Open Meeting: The Commission will consider whether to propose rule 3Cg-1 under the Exchange Act governing the exception to mandatory clearing of security-based swaps under Section 763(a) of the Dodd-Frank... [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]
8 Mar 2011, 12:31 pm
The House Financial Services Capital Markets Subcommittee will hold a hearing on March 10 on “Oversight of the Securities and Exchange Commission’s Operations, Activities, Challenges and FY 2012 Budget Request,” at which the directors of the agency's five divisions will... [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]
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]
