Search for: "Securities and Exchange Commission"
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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]
6 Feb 2012, 7:09 am
Securities and Exchange Commission. [read post]
16 Jul 2019, 10:22 am
Securities and Exchange Commission 18-1566 Issue: Whether Section 929P(b) of the Dodd-Frank Act’s jurisdictional amendments conferred substantive extraterritorial reach under Sections 10(b) and 17(a) of the Securities Exchange Act in Securities and Exchange Commission enforcement actions and in federal criminal prosecutions. [read post]
18 Nov 2022, 6:32 am
Securities and Exchange Commission. [read post]
18 Nov 2022, 6:32 am
Securities and Exchange Commission. [read post]
4 Apr 2012, 7:19 am
The Securities and Exchange Commission recently issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. [read post]
30 Oct 2024, 8:00 am
The Securities and Exchange Commission today announced four new members of the Small Business Capital Formation Advisory Committee. [read post]
14 Dec 2023, 1:51 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2023 Annual Report today to Congress and the Commission. [read post]
29 Jan 2025, 11:00 am
The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF that were adopted on Feb. 8, 2024. [read post]
4 Feb 2025, 8:50 am
The Securities and Exchange Commission today announced Acting Chairman Mark T. [read post]
24 Jan 2025, 8:10 am
The Securities and Exchange Commission today announced Acting Chairman Mark T. [read post]
21 Nov 2024, 10:00 am
The Securities and Exchange Commission today announced that its 33rd Chair, Gary Gensler, will step down from the Commission effective at 12:00 pm on January 20, 2025. [read post]
16 May 2024, 7:45 am
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. [read post]
29 Apr 2022, 1:00 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Friday, May 6, which will examine the Commission’s proposed rules on climate-related disclosures and Special…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jun 2022, 8:05 am
The Securities and Exchange Commission today charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict of…Read the Full Press ReleaseHave a securities law question? [read post]
15 Feb 2023, 9:30 am
The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers. [read post]
10 Aug 2022, 8:20 am
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. [read post]
14 Nov 2022, 1:20 pm
The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized statistical rating organization (NRSRO) registered with the Commission, with violating conflict of interest rules designed to prevent sales and marketing…Read the Full Press ReleaseHave a securities law question? [read post]
30 Oct 2006, 5:33 am
Securities and Exchange Commission in relation to its internal review of stock-option grants, the company said late Friday. [read post]
6 Mar 2024, 9:20 am
The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings. [read post]
