Search for: "Securities and Exchange Commission"
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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]
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]
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]
4 Jun 2011, 12:03 pm
Nelson Obus's case has become one of the longest-running civil actions by the Securities and Exchange Commission in recent memory, but he refuses to settle. [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]
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]
7 Feb 2011, 5:37 pm
Some Wall Street lawyers have been lobbying Congress to get more money for the Securities and Exchange Commission, which faces a budget freeze. [read post]
7 Oct 2009, 11:04 am
The Securities and Exchange Commission is not backing down in its insider trading case against Mark Cuban, the entrepreneur-turned-professional basketball team owner. [read post]
9 Jul 2009, 4:36 am
Securities and Exchange Commission. [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]
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]
28 Dec 2007, 9:54 pm
Press release: "Securities and Exchange Commission Chairman Christopher Cox...launched the first-ever online tool that enables investors to easily and instantly... [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]
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 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]
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]
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]
17 Mar 2010, 10:45 am
Henning of Watch Collar Watch argues that the Securities and Exchange Commission would benefit from the financial regulatory bill being considered by the Senate. [read post]
15 Jun 2010, 4:11 am
The Securities and Exchange Commission has ended an investigation of Third Point, according to a letter sent by the hedge fund to its investors and posted on DealBreaker. [read post]
16 Sep 2009, 3:47 pm
News release: "Securities and Exchange Commission Chairman Mary L. [read post]
