Search for: "Securities and Exchange Commission"
Results 1221 - 1240
of 22,358
Sorted by Relevance
|
Sort by Date
28 Feb 2011, 5:56 am
CNN says that the Securities and Exchange Commission has denied Freedom of Information Act requests for the agency's communications with the major players in the private share market. [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]
23 Sep 2008, 4:32 pm
A second firm has voluntarily chosen to drop out of the Securities and Exchange Commission's no-short-selling list, even as that roster continues to grow. [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]
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]
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]
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]
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]
18 Jan 2011, 10:51 am
White Collar Watch examines the possible direction of the Securities and Exchange Commission's inquiry into Wall Street's dealings with sovereign wealth funds. [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]
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]
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]
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]
16 Aug 2012, 9:13 am
The Securities and Exchange Commission has accused College Football Hall of Fame coach Jim Donnan of orchestrating an $80 million Ponzi scheme. [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]
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]
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]
17 Aug 2009, 9:42 am
The Securities and Exchange Commission said Monday it was reopening the comment period on a proposed "uptick rule," as it considers a new approach to bringing back the controversial restriction. [read post]
1 Jun 2011, 5:13 pm
Cheryl Scarboro, the head of the Securities and Exchange Commission's foreign bribery unit, is leaving the agency to join the law firm's Washington office. [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]
