Search for: "Securities and Exchange Commission"
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11 Mar 2009, 4:21 pm
Here is the abstract: The Securities and Exchange Commission in recent years has often employed its remedial powers to shape corporate governance norms. [read post]
17 May 2009, 8:37 am
This front page story in today's Washington Post concerns a report on the alleged conduct of employees of the Securities and Exchange Commission. [read post]
26 Aug 2019, 3:08 pm
On August 19, 2019, INX Limited (together with its affiliates, “INX”) filed a Form F-1 with the Securities and Exchange Commission (“SEC”) stating their intention to raise up to approximately $130 million through a registered initial public offering (“IPO”). [read post]
23 Aug 2018, 5:56 pm
Five unregistered brokers and their companies are now facing US Securities and Exchange Commission charges accusing them of selling Woodbridge securities to investors even though they were not registered as broker-dealers and therefore were not allowed to sell these securities. [read post]
6 Oct 2020, 6:09 am
Securities and Exchange Commission. [read post]
13 Apr 2018, 2:13 pm
On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. [read post]
15 Jun 2011, 11:47 pm
The Securities and Exchange Commission and the Commodity Futures Trading Commission are scrambling to write the rules required by Dodd-Frank, but their expanded workload means they're both going to miss the July deadline the law stipulates. [read post]
29 Dec 2010, 11:48 am
The Justice Department has called on the Securities and Exchange Commission and the U.S. [read post]
4 May 2010, 7:19 am
The Securities & Exchange Commission has named agency veteran Richard Levine associate general counsel for legal policy in the Office of the General Counsel. [read post]
16 Aug 2007, 4:08 am
The video game maker Take-Two Interactive said Wednesday that it might face civil charges and fines from the Securities and Exchange Commission for backdating stock options. [read post]
12 Jan 2018, 5:54 pm
WASHINGTON—The Supreme Court on Friday said it would review the Securities and Exchange Commission’s in-house judicial system, agreeing to decide whether the commission’s judges were selected in a way that violates the Constitution. [read post]
3 May 2011, 5:50 pm
The Securities and Exchange Commission and the Commodity Futures Trading Commission are struggling to fill crucial jobs, enforce new rules, upgrade market surveillance technology and pay for travel. [read post]
8 Apr 2020, 9:00 pm
Our colleagues in the investment management practice have prepared a chart that summarizes the available relief provided by the US Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association from certain regulatory requirements. [read post]
26 Jan 2010, 5:32 pm
The Securities Exchange Commission (SEC) announced that it will consider a recommendation to publish an interpretive release to provide guidance to public companies regarding the Commission's current... [[ This is a content summary only. [read post]
28 Aug 2009, 8:29 am
The inspector general of the Securities and Exchange Commission said in a report released Friday that the commission has "historically been slow to act" in regulating the nation's credit ratings agencies and recommended a broad range of improvements to the S.E.C.'s oversight. [read post]
17 Jul 2009, 7:05 am
[JURIST] Finance expert William Brodsky [FIA profile] on Friday called for the merger [testimony, PDF] of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) [official websites]. [read post]
13 Dec 2010, 2:05 pm
Today's Wall Street Journal that whistleblowers reporting financial fraud shouldn't be expecting a quick payout: The Dodd-Frank law dangles a pile of money in front of whistleblowers who tip off the Securities and Exchange Commission and Commodity Futures Trading Commission... [read post]
23 Jan 2003, 12:43 pm
[JURIST] The US Securities and Exchange Commission held an Open Meeting Thursday to set new rules of conduct for attorneys who appear and practice before the Commission. [read post]
1 Dec 2009, 10:52 am
The Virtual Museum of the Securities and Exchange Commission Historical Society announces the opening of its latest gallery, In the Midst of Revolution: The SEC, 1973-1981. [read post]
10 Mar 2020, 11:33 am
In connection with the order issued by the Securities and Exchange Commission on March 4 providing filing relief for companies that are affected by the coronavirus, the Commission reminded all companies to be vigilant regarding their disclosure obligations related to the evolving coronavirus scenario. [read post]
