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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]
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]
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]
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]
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]
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]
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]
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]
28 Feb 2012, 3:07 pm
Goldman Sachs and Wells Fargo disclosed that they were facing inquiries from the Securities and Exchange Commission over mortgage-related investments that the firms offered to investors. [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]
8 Jun 2011, 3:00 am
Davis Polk & Wardwell has hired Susan Ervin, previously a senior adviser at the Securities and Exchange Commission, to join its financial institutions group. [read post]
10 Feb 2012, 6:27 am
Securities and Exchange Commission Issues 5 Page Report Announcing 1 Word Change... [read post]
23 Aug 2011, 5:27 pm
After Tuesday's earthquake, the Securities and Exchange Commission temporarily shutdown its crucial Edgar online filing system on Tuesday night. [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]
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]
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]
26 Feb 2015, 12:55 pm
[This story previously appeared in Securities Regulation Daily.]By Rodney F. [read post]
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. [read post]
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. [read post]
