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31 Aug 2012, 5:36 am
s the catchy front-page title of a just-published 212-page Securities and Exchange Commission report:Study Regarding Financial Literacy Among Investors... [read post]
26 Aug 2009, 11:29 pm
OpenTable, the restaurant reservation company, said it had filed with the Securities and Exchange Commission to offer 3.3 million more shares owned by current shareholders. [read post]
24 Mar 2010, 9:56 am
A federal appeals court on Wednesday granted a motion by hedge fund manager Raj Rajaratnam to stay the turnover of wiretap recordings to the Securities and Exchange Commission, pending an appeal. [read post]
2 Mar 2011, 11:14 am
The proposal would require Wall Street firms to disclose bonus figures to the Securities and Exchange Commission, which could then ban any "excessive" awards. [read post]
15 Jul 2009, 12:08 pm
A former Goldman Sachs banker and 10 other people were sued by the Securities and Exchange Commission, which accused them of insider trading ahead of merger announcements. [read post]
30 Aug 2010, 1:11 pm
Conte, a longtime lawyer in the Securities and Exchange Commission's enforcement unit, is leaving the agency to join Steptoe & Johnson. [read post]
8 Jun 2011, 3:00 am
Davis Polk & Wardwell has hired Susan Ervin, previously a senior adviser at the Securities and Exchange Commission, to join its financial institutions group. [read post]
9 Sep 2012, 6:04 pm
Under a bill that could curb the influence of the Securities and Exchange Commission, the White House would receive explicit authority to influence the rule-making process at independent agencies. [read post]
4 Dec 2020, 9:44 am
Securities and Exchange Commission said Friday that The Cheesecake Factory settled charges that it misled investors on the impact the pandemic was having on its business. [read post]
16 Sep 2009, 12:44 pm
Amid the storm of pay-to-play scandals and as pay-to-play has become an increasingly hot-button state issue, the Securities Exchange Commission […] [read post]
23 Aug 2011, 5:27 pm
After Tuesday's earthquake, the Securities and Exchange Commission temporarily shutdown its crucial Edgar online filing system on Tuesday night. [read post]
10 Jun 2009, 5:03 am
The Obama administration intends to seek new powers for the Securities and Exchange Commission to force financial firms to give shareholders votes on executive pay packages. [read post]
20 Aug 2012, 11:03 am
Mazzo, the chief of Advanced Medical Optics, may have some legal strategies to defend against insider trading charges by the Securities and Exchange Commission. [read post]
17 Sep 2008, 10:44 pm
News release: "The Securities and Exchange Commission today took several coordinated actions to strengthen investor protections against "naked" short selling.... [read post]
6 Sep 2012, 10:00 am
A Federal Appeals Court has revived a decade-old insider-trading case brought against a New York hedge fund manager by the Securities and Exchange Commission. [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
10 May 2010, 5:00 am
The firm said in a regulatory filing that it may face more lawsuits related to its mortgage-trading activities, following civil charges filed by the Securities and Exchange Commission. [read post]
29 Jul 2011, 9:00 am
DealBook talks with six students from some of the nation's top law, business and undergraduate schools about why they are interns at the Securities and Exchange Commission. [read post]
15 Jun 2010, 6:31 am
The Securities and Exchange Commission is bolstering its effort to hire academics and traders who better understand the intricacies of today's markets, The Washington Post reports. [read post]
19 Nov 2010, 11:35 am
The Securities and Exchange Commission moved to require the registration of hedge funds and other private funds as it begins to implement the Dodd-Frank Act on financial regulation. [read post]
