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28 Jul 2010, 8:52 am
The Securities and Exchange Commission apparently no longer has to comply with requests for information from the public because of a little-noticed provision in the new financial regulations. [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]
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]
28 Aug 2012, 2:03 pm
The Securities and Exchange Commission has disclosed that is investigating Residential Capital, the home lending arm of Ally Financial that is now in bankruptcy, for potential instances of mortgage fraud. [read post]
8 Mar 2012, 1:54 pm
The Securities and Exchange Commission said a former executive at Coca-Cola Enterprises acted on nonpublic information about a pending deal with the Coca-Cola Company. [read post]
28 Mar 2011, 6:58 am
Berkshire Hathaway wrote down the value of three equity stakes after the Securities and Exchange Commission questioned valuations, Bloomberg News reports. [read post]
17 Apr 2007, 10:17 pm
Press release: "The Securities and Exchange Commission's staff today announced the availability of a new compliance tool to assist anti-money... [read post]
17 Mar 2010, 12:06 pm
Schapiro, the chairwoman of the Securities and Exchange Commission, confirmed Wednesday that the agency was investigating several companies' actions in the run-up to the financial crisis of 2008. [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]
14 Mar 2012, 2:42 pm
The Securities and Exchange Commission filed charges against three firms that trade shares of privately held technology companies: Felix Investments, EB Financial and SharesPost. [read post]
14 Dec 2008, 5:34 am
News release: "The Securities and Exchange Commission today charged Bernard L. [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]
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]
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]
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]
17 Sep 2007, 4:36 pm
Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations, GAO-07-830, August 15,... [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]
12 Jul 2011, 5:36 pm
The Dodd-Frank Act and Securities and Exchange Commission regulation were supposed to end unjustified, egregious compensation packages, but evidence does not bear this out. [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]
31 Aug 2010, 3:44 pm
News release: "The Securities and Exchange Commission today issued a report cautioning credit rating agencies about deceptive ratings conduct and... [read post]
