Search for: "Security and Exchange Commission"
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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]
16 Apr 2010, 7:46 am
Goldman Sachs was accused of securities fraud in a civil suit filed Friday by the Securities and Exchange Commission, which claims the bank created and sold a mortgage investment that was secretly devised to fail. [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]
14 Oct 2008, 5:16 am
Securities and Exchange Commission, Office of Inspector General - SEC â [read post]
1 Jun 2009, 3:54 pm
Securities and Exchange Commission (SEC) Office of Inspector General â [read post]
4 Aug 2011, 10:40 am
On July 27, 2011, the Staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations published a report entitled “Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors. [read post]
14 Dec 2022, 10:11 am
The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange. [read post]
14 Dec 2022, 6:08 am
The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud scheme in which they used the social media platforms Twitter and Discord to manipulate exchange-traded stocks. [read post]
10 Oct 2023, 10:33 am
The Securities and Exchange Commission today adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. [read post]
14 Dec 2022, 9:09 am
The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements to enhance investor protections against insider trading. [read post]
10 May 2019, 7:05 am
The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants.The proposals are intended to improve the regulatory framework by pragmatically addressing implementation issues and efficiency concerns, and in some cases further harmonizing the regulatory regime governing security-based swaps… [read post]
16 Oct 2012, 9:30 pm
Talk of a securities market “kill switch” dominated discussions in a recent Securities and Exchange Commission (SEC) Market Technology Roundtable. [read post]
29 Jun 2012, 11:35 am
Securities and Exchange Commission announced the adoption of new rules and amendments to its proxy disclosure rules that would generally prohibit national securities exchanges from listing the equity securities of an issuer that is not in compliance with compensation committee independence requirements. [read post]
13 May 2024, 8:45 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:41 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:51 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:50 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
15 Jan 2019, 8:58 am
Securities and Exchange Commission (“SEC”) announced it had adopted final rules to amend certain parts of Regulation A[1] promulgated under the Securities Act of 1933 (“Securities Act”). [read post]
19 Apr 2019, 10:39 am
The Securities and Exchange Commission (SEC) is promoting more robust disclosures regarding cybersecurity risks, controls, and incidents for investors, placing increased responsibility on public companies due to the “grave threats” cyber poses on the markets. [read post]
3 Oct 2019, 1:13 pm
The Security and Exchange Commission filed a complaint alleges that Mark Ray, a Denver resident, was the mastermind of a scheme for the purported purchase and immediate resale of large numbers of cattle. [read post]
