Search for: "Securities and Exchange Commission"
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25 Sep 2023, 7:00 am
The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made in several Commission filings, which increased GTT’s reported operating income by…Read the Full Press Release Have a securities law question? [read post]
31 Jan 2023, 9:21 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. [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]
28 Apr 2023, 12:46 pm
The Securities and Exchange Commission today reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting, and the staff of the Commission’s Division of Economic and Risk Analysis released a…Read the Full Press Release Have 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]
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]
17 Oct 2023, 12:03 pm
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened a hybrid meeting today to discuss certain issues relating to…Read the Full Press Release Have a securities law question? [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]
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]
14 Feb 2023, 12:05 pm
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. [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]
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]
12 Dec 2024, 11:20 am
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report today to Congress and the Commission. [read post]
7 Nov 2022, 2:30 am
FINRA Arbitrators Slam Losing Respondents with Hearing Fees in Breach of Contract Dispute (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
7 Nov 2022, 2:30 am
The Gensler SEC's Rulemaking Reach Exceeds Its Grasp (BrokeAndBroker.com Blog)TD Ameritrade Loses FINRA Customer Arbitration Citing Inaccurate Statements and Forced Liquidation (BrokeAndBroker.com Blog)United States Supreme Court: SECURITIES AND EXCHANGE COMMISSION V. [read post]
27 Mar 2019, 11:26 am
SEC (Art Lien) Although the case affects several related provisions of the securities laws, its principal application is Rule 10b-5 of the Securities and Exchange Commission. [read post]
23 Nov 2020, 8:42 am
Retail Investors Were Allegedly Told To Hold Exchange-Traded Products for Too Long In separate settlements reached with the US Securities and Exchange Commission (SEC), Royal Alliance Associates, Securities America Advisors, Summit Financial Group, Benjamin F. [read post]
14 Jun 2023, 6:31 am
Securities and Exchange Commission (the “SEC” or the “Commission”) has had a busy start to its Fiscal Year 2023 enforcement program, continuing its vigorous approach to enforcement with its use of novel theories and enhanced remedies. [read post]
14 Jun 2023, 6:31 am
Securities and Exchange Commission (the “SEC” or the “Commission”) has had a busy start to its Fiscal Year 2023 enforcement program, continuing its vigorous approach to enforcement with its use of novel theories and enhanced remedies. [read post]
