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22 Dec 2021, 8:36 am
One settlement is with the US Securities and Exchange Commission (SEC) and the other with the Commodity Futures Trading Commission (CFTC). [read post]
12 Sep 2024, 5:00 am
The Denver office of the Securities and Exchange Commission has rolled up a bunch more whistleblower rule violations. [read post]
13 Oct 2018, 7:21 am
Securities and Exchange Commission. [read post]
16 Jun 2022, 8:53 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Best Interest Obligation regulations (commonly referred to as Regulation Best Interest or Reg BI) when they recommended and sold unrated, high-risk debt security known as… [read post]
28 Jul 2023, 12:26 pm
The Securities Exchange Commission recently adopted regulations which will have an impact on publicly traded hotel companies that suffer a data breach. [read post]
27 Apr 2012, 2:45 pm
The SEC has posted the 644 page text of a rulemaking release adding Exchange Act definitions of key terms for security-based swaps. [read post]
21 Sep 2010, 8:18 am
On September 10, the Securities and Exchange Commission (SEC) approved new rules to expand its circuit breaker pilot program, which currently applies to stocks listed in the S&P 500 Index, to all stocks in the Russell 1000 Index and certain exchange-traded funds. [read post]
20 Dec 2021, 11:56 am
Securities and Exchange Commission on December 17 has reportedly fined J.P. [read post]
7 Dec 2018, 5:51 am
Securities and Exchange Commission. [read post]
11 Jul 2023, 10:00 pm
The Securities and Exchange Commission proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and PAB reserve bank accounts. [read post]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [read post]
15 Nov 2022, 7:02 am
Gaia takes back control with a donation of material abstractions to the Securities and Exchange Commission. [read post]
14 Jul 2022, 10:00 pm
The US Securities and Exchange Commission on July 13 proposed amendments to the shareholder proposal rule, which governs the process for including or excluding a shareholder proposal in a company’s proxy statement. [read post]
10 May 2010, 12:16 pm
Shares in the Moody's Corporation remained down on Monday after the firm disclosed late on Friday that it received notice of a Securities and Exchange Commission investigation over its credit-rating policies. [read post]
21 Sep 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) recently adopted sweeping new rules under the Investment Advisers Act of 1940 (Advisers Act) that apply in certain circumstances to non-US advisers to private investment funds. [read post]
2 Oct 2007, 1:45 pm
The Securities and Exchange Commission is proposing to increase the net asset requirement for individuals seeking to invest in hedge funds to $2.5 million from $1 million. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
27 Aug 2008, 6:40 pm
The Securities and Exchange Commission moved Wednesday to allow some large American companies to begin using international accounting standards as early as next year, and to require all American companies to do so by 2016. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
24 May 2022, 10:34 am
In a watershed opinion, a divided panel of the Fifth Circuit has ruled that the United States Securities and Exchange Commission’s system of in-house administrative tribunals is unconstitutional. [read post]
