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22 Aug 2012, 6:15 pm
In a 17-page letter sent to the Securities and Exchange Commission on Wednesday, the bank slammed Nasdaq for its "mishandling" of the I.P.O. and its remedy. [read post]
27 Oct 2011, 5:46 pm
The Federal Bureau of Investigation began looking into the case two weeks ago, and the Securities and Exchange Commission and other regulators have now followed suit. [read post]
1 Jun 2012, 2:11 pm
The Securities and Exchange Commission adopted measures that would enforce market-wide circuit breakers and prevent erroneous trades from entering the system. [read post]
9 Dec 2011, 5:12 am
In a $148 million bond fraud deal, Wachovia admitted guilt to the Justice Department, but not the Securities and Exchange Commission, reports Edward Wyatt of The New York Times. [read post]
22 Aug 2012, 6:15 pm
In a 17-page letter sent to the Securities and Exchange Commission on Wednesday, Citigroup said "Nasdaq was grossly negligent in its handling of the Facebook I.P.O. [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]
28 Oct 2010, 6:07 pm
The Pacific Alternative Asset Management Company did not give the reasons the Securities and Exchange Commission's New York regional office decided to open the investigation. [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 Jun 2010, 3:31 am
The Securities and Exchange Commission is ramping up an investigation into a second complex mortgage deal by Goldman Sachs, The Financial Times reported, citing people close to the matter. [read post]
16 Sep 2009, 3:47 pm
News release: "Securities and Exchange Commission Chairman Mary L. [read post]
16 Jul 2008, 5:15 pm
News release: "The Securities and Exchange Commission today issued an emergency order to enhance investor protections against "naked" short selling... [read post]
23 Mar 2010, 1:18 pm
An internal review of the Securities and Exchange Commission's investigation of Allied Capital raises concerns about the agency's oversight of the financial industry. [read post]
25 Oct 2010, 4:02 am
Mark Cuban is offering to bankroll a team lawyers to help the Securities and Exchange Commission in its review of the agency's case against him. [read post]
27 Aug 2012, 6:38 am
Aguilar, a member of the Securities and Exchange Commission, opposed a plan to change rules on money market funds, derailing a significant effort to tighten regulations on the financial industry. [read post]
14 Feb 2008, 9:46 pm
Press release, February 13, 2008: "The Securities and Exchange Commission today voted unanimously to propose rule amendments requiring investment advisers... [read post]
20 May 2010, 7:58 am
The enforcement division of the Securities and Exchange Commission has begun looking into the sharp stock market drop of May 6, the chairwoman of the agency said on Thursday. [read post]
18 Jul 2008, 10:10 pm
News release: "The Securities and Exchange Commission today announced that the Federal Home Loan Mortgage Corporation (Freddie Mac) has voluntarily... [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]
29 Aug 2012, 9:15 am
A new proposal outlined on Wednesday by the Securities and Exchange Commission would remove a longtime restriction barring hedge funds from marketing themselves in public. [read post]
