Search for: "Securities and Exchange Commission"
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30 Aug 2011, 12:19 pm
The Securities and Exchange Commission reached a settlement with the former chief financial officer of Beazer Homes USA to recover $1.4 million in bonus and stock profits. [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 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]
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]
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]
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]
1 Aug 2008, 3:02 am
News release: "Securities and Exchange Commission Chairman Christopher Cox and U.S. [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]
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]
2 Sep 2011, 2:03 pm
In a filing with the Securities and Exchange Commission, the bank announced that its former chief executive, who resigned on Wednesday, would receive an immediate severance of $2 million. [read post]
24 Feb 2012, 12:59 pm
This talk of a crackdown on white-collar crime comes after the Securities and Exchange Commission was assailed for failing to rein in Wall Street ahead of the 2008 financial crisis. [read post]
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]
16 Mar 2011, 8:52 am
The law firm is pushing the Securities and Exchange Commission to amend the reporting requirements for activist investors, an unintended consequence of the Dodd-Frank regulatory overhaul. [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]
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]
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]
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]
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]
21 Sep 2010, 10:38 am
A federal appeals court reinstates the Securities and Exchange Commission's insider-trading case against the owner of the Dallas Mavericks basketball team. [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]
