Search for: "Securities and Exchange Commission"
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14 Sep 2010, 3:59 am
The Securities and Exchange Commission has spent 15 years remaking the stock market into 11 competing exchanges and hundreds of computer-driven traders. [read post]
7 Oct 2021, 5:45 pm
In a news release, the company said it anticipates filing the delisting notification with the Securities and Exchange Commission on or about Oct. ... [read post]
12 Jun 2017, 3:17 pm
A former branch chief with the Securities and Exchange Commission, Twedt advises clients on SEC and stock exchange rules and procedures, corporate governance best practices, fund formation and related matters. [read post]
16 Dec 2010, 6:25 pm
By Jonathan Halpern and Thomas Kokalas Under a rule proposed by the Securities and Exchange Commission, oil, gas and mining companies listed on U.S. stock exchanges would be required to disclose payments they made to foreign governments or the United States government in connection with a broad swath of activity, from exploration to oil processing. [...] [read post]
6 Feb 2010, 1:57 pm
Two ex- JPMorgan Chase & Co. bankers that the Securities and Exchange Commission is suing over their alleged involvement in certain swap transactions are asking the U.S. [read post]
19 Aug 2024, 7:33 am
The Securities and Exchange Commission today announced charges against Carl C. [read post]
15 Mar 2011, 11:00 pm
On January 25, 2011, the Securities and Exchange Commission (the "SEC") adopted final rules to implement Section 14A of the Securities Exchange Act of 1934 (the "Exchange Act"), which requires public companies to conduct non-binding shareholder advisory votes on executive compensation ("say-on-pay"), the frequency of the say-on-pay vote ("say-on-frequency"), and compensation arrangements in connection with… [read post]
15 Mar 2011, 11:00 pm
On January 25, 2011, the Securities and Exchange Commission (the "SEC") adopted final rules to implement Section 14A of the Securities Exchange Act of 1934 (the "Exchange Act"), which requires public companies to conduct non-binding shareholder advisory votes on executive compensation ("say-on-pay"), the frequency of the say-on-pay vote ("say-on-frequency"), and compensation arrangements in connection with… [read post]
12 Sep 2017, 8:48 am
View European Commission report on temporary exclusion of exchange-traded derivatives from scope of Articles 35 and 36 of MiFIR, 11 September 2017 [read post]
24 Jul 2014, 6:20 am
Securities and Exchange Commission. [read post]
6 Apr 2022, 7:09 am
Come meet the SEC and learn about career opportunities. [read post]
12 Feb 2011, 4:21 pm
District Court for the Southern District of New York granted the Securities and Exchange Commission's motion for the permanent injunction late last month. [read post]
5 Feb 2010, 1:19 pm
On February 4, 2010, State Street Bank and Trust Company entered into a settlement with the Securities and Exchange Commission without admitting or denying the findings of the SEC in the settlement Order. [read post]
15 Apr 2009, 2:12 pm
Securities and Exchange Commission into corruption at that state's pension fund, The New York Times reported Wednesday. [read post]
Recent SEC report on cybersecurity preparedness and response serves as warning of future enforcement
14 Nov 2018, 11:38 am
Securities and Exchange Commission (“SEC”) recently provided issuers with a reminder of the potential for enforcement for insufficient cybersecurity. [read post]
10 Sep 2018, 7:19 pm
The Securities and Exchange Commission (SEC) has cautioned that depending on their specific features, ICOs may qualify as offerings of “securities” subject to federal regulation. [read post]
6 Feb 2015, 9:10 am
Today, the Securities and Exchange Commission (“SEC” or “Commission”) announced the terms of a settlement with four of the Respondents in In the Matter of BDO China Dhaua CPA Co., Ltd. [read post]
25 Jun 2009, 7:40 am
The Securities and Exchange Commission plans to address the long-awaited New York Stock Exchange's "broker vote" rule at an open meeting on July 1. [read post]
4 Nov 2010, 12:03 pm
Securities and Exchange Commission released interpretive guidance on existing SEC disclosure requirements for reporting companies relating to the issue of climate change (see our previous bulletin regarding same). [read post]
18 Nov 2022, 6:32 am
Securities and Exchange Commission. [read post]
