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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]
15 Sep 2015, 9:02 am
In what will surely not be the last word on this continuing controversy, on September 3, 2015, a majority of the members of the Securities and Exchange Commission held that the appointment process for the Commission’s administrative law judges (“ALJ”) does not violate the Constitution. [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [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]
27 Jun 2024, 7:00 am
The Supreme Court stripped the Securities and Exchange Commission of a major tool in fighting securities fraud. [read post]
19 Apr 2010, 10:49 am
Fabrice Tourre, the 31-year-old Goldman Sachs vice president cited by the Securities and Exchange Commission in their accusation of securities fraud against the bank, followed a beaten path from the French grandes ecoles to Wall Street. [read post]
27 Apr 2011, 10:32 pm
Fact sheet: "The Securities and Exchange Commission voted unanimously to propose rules further defining the terms “swap,” “security-based swap,” and... [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
26 Jul 2010, 9:32 am
White Collar Watch examines how the Dodd-Frank Act, now law, enables the Securities and Exchange Commission to encourage whistle-blowers who reveal a broad array of securities fraud. [read post]
23 Apr 2010, 5:00 pm
The Securities and Exchange Commission's inspector general said Friday that he would investigate the timing of the agency's securities fraud case against Goldman Sachs. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
9 Aug 2012, 7:17 am
Goldman Sachs disclosed in a securities filing that an investigation into a $1.3 billion subprime mortgage deal in 2006 has ended without any enforcement action by the Securities and Exchange Commission. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
17 Apr 2010, 12:21 pm
Paulson has found himself in an uncomfortable spotlight even though the Securities and Exchange Commission did not charge him along with Goldman Sachs with securities fraud. [read post]
14 Oct 2010, 10:42 pm
Talks over settling at least part of the securities fraud lawsuit filed by the Securities and Exchange Commission against three former executives of the Countrywide Financial Corporation have intensified, two people involved with the case said Thursday. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
