Search for: "Securities and Exchange Commission"
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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]
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]
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]
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]
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]
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]
23 Aug 2021, 4:42 pm
The Securities and Exchange Commission issued a final rule on August 23, 2021, which removes a regulatory requirement to provide a computer terminal in the Commission’s Public Reference Room for persons who cannot access electronic records that the agency proactively publishes pursuant to FOIA. [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 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]
7 Jan 2011, 8:29 am
After eight complaints, and two regulatory proceedings, the Securities and Exchange Commission finally takes action and settles claims against stockbroker for defrauding disabled group of elderly nuns. [read post]
3 Sep 2013, 8:23 am
A “penny stock” is defined by the Securities and Exchange Commission (SEC) as a security issued by a very small company, micro-cap or less than $100 million in market capitalization, and trades at less than $5 per share. [read post]
16 Aug 2012, 8:21 am
("Mizuho"), a U.S. subsidiary of Japan-based Mizuho Financial Group and member of FINRA, has agreed to settle charges by the Securities and Exchange Commission ("SEC") that it misled investors about a collateralized debt obligation ("CDO") named Delphinus CDO 2007-1 ("Delphinus"). [read post]
1 Jun 2010, 8:29 pm
Also that day, the US Securities and Exchange Commission filed its securities fraud complaint against the two broker-dealers. [read post]
10 Feb 2009, 7:28 am
District Court for the Southern District of New York held Jan. 13 (Securities and Exchange Commission v. [read post]
14 Oct 2008, 5:58 am
Securities and Exchange Commission Division of Enforcement, Enforcement Manual, Office of Chief Counsel, October 6, 2008: "The Enforcement Manual ( â [read post]
29 Jun 2009, 8:02 am
The Securities and Exchange Commission unveiled conspiracy charges against brokerage firm Cohmad Securities and four individuals with securities fraud in association with Bernie Madoff’s Ponzi scheme, the Washington Post reports. [read post]
13 Oct 2018, 7:20 am
Securities and Exchange Commission. [read post]
31 Mar 2019, 9:56 am
Traders and stockbrokers want to know what exchanges earn from market data; there is clamour for securities and exchange regulatory authorities to regulate market data pricing and in the US, the Securities and Exchange Commission (US-SEC) recently (October 2018) rejected increase in the price of market data. [read post]
