Search for: "Securities and Exchange Commission"
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26 Sep 2020, 6:27 am
Securities and Exchange Commission. [read post]
21 Feb 2012, 6:33 am
Securities & Exchange Commission (10-429, 2nd Circuit, February 14, 2012), Petitioner Scott Mathis sought the review of a Securities and Exchange Commission (? [read post]
24 Jun 2016, 11:10 am
The sooner we embrace the Digital Security Commission, the sooner we can get to work compromising on a solution. [read post]
7 Oct 2022, 11:40 am
The Securities and Exchange Commission today reopened the public comment periods for 11 Commission rulemaking releases and one request for comment due to a technological error that resulted in a number of public comments submitted through the Commission’…Read the Full Press ReleaseHave a securities law question? [read post]
21 Aug 2008, 1:31 pm
UBS recently agreed to buy back $18.6B in auction rate securities (ARS) and pay $150M in penalties ($75M to the State of New York, and $75M to the North American Securities Administrators Association) to settle allegations made by the New York Attorney General and the Securities and Exchange Commission that UBS fraudulently marketed the safety of ARS to customers.On July 24, 2008, the New York Attorney General filed suit against UBS for fraud and false… [read post]
28 Jun 2024, 12:15 am
Yesterday, the United States Supreme Court held that when the Securities and Exchange Commission seeks civil penalties against a defendant for securities fraud, the Seventh Amendment to the U.S. [read post]
31 Jul 2020, 4:00 am
Zipper) appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
7 Oct 2020, 5:50 am
Securities and Exchange Commission (SEC) enforcement actions involving unregistered securities offerings. [read post]
16 Apr 2010, 12:02 pm
The Securities and Exchange Commission filed a complaint today against Goldman Sachs & Co. for “making materially misleading statements and omissions in connection with a synthetic collateralized debt obligation (“CDO”) [it] structured and marketed to investors. [read post]
30 Oct 2020, 8:38 am
According to the Commission, the conditions are intended to: (1) protect money, securities, and property of security-based swap customers; (2) address certain differences in the statutory requirements of the Exchange Act and the CEA; and (3) promote appropriate risk management and disclosure.After the 2012 order, the SEC has monitored the BD/FCMs participating in the portfolio margining program and the overall market for cleared credit default swaps. [read post]
23 Dec 2011, 10:22 am
The Securities and Exchange Commission on Friday charged GE Funding Capital Market Services, a unit of General Electric Co., with securities fraud, in a case that resulted in two settlements totaling about $70 million. [read post]
6 Jun 2008, 1:35 pm
Part of his New Deal legislation to regulate the markets, the Act founded the Securities and Exchange Commission and put curbs on indiscriminate or criminal trading by brokers. [read post]
3 Jul 2015, 6:01 am
On July 1, 2015, the Securities and Exchange Commission proposed rules to require issuers of securities listed on U.S. stock exchanges to adopt and enforce clawback policies applicable to incentive-based compensation received by current and former executives in the three-year period preceding the date the issuer is required to prepare an accounting restatement due to material noncompliance with financial reporting requirements. [read post]
31 Jul 2012, 9:12 am
From Bill Singer: After some two-years of preparation, the Securities and Exchange Commission has just published a dramatic report on the municipal securities markets that all serious investors should read. [read post]
4 Jan 2011, 2:00 am
Then just last week, Peter Lattman, a reporter with The New York Times wrote a story reporting that the Securities and Exchange Commission has sent information requests to persons trading in the shares of Facebook, Inc. and three other companies. [read post]
13 Jun 2018, 1:11 pm
Facts of the Case A case was filed with the Securities and Exchange Commission due to DeVere USA, Inc. [read post]
16 Dec 2024, 7:20 am
On December 4, President-elect Trump announced that his pick for the next Securities and Exchange Commission (SEC) chair would be Paul Atkins. [read post]
31 Jan 2012, 12:24 pm
The hedge fund manager David Einhorn settled securities fraud charges with Britain's financial regulator, but it is unlikely the Securities and Exchange Commission would pursue similar charges against him. [read post]
21 Aug 2012, 11:57 am
The Securities and Exchange Commission is preparing to pay out its first award to a whistleblower under a new program designed to encourage people to report and provide evidence of potential securities frauds. [read post]
30 Jul 2010, 4:30 pm
White Collar Watch examines the issues and problems that the Securities and Exchange Commission faces in its case against the billionaire Wyly brothers, who are accused of securities fraud and insider trading. [read post]
