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26 Aug 2020, 10:00 pm
The US Securities and Exchange Commission announced that it voted on August 26 to adopt amendments to Regulation S-K to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [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]
26 Aug 2020, 10:00 pm
The US Securities and Exchange Commission announced that it voted on August 26 to adopt amendments to Regulation S-K to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make. [read post]
31 Aug 2010, 8:01 am
Two senior lawyers at the Securities & Exchange Commission are headed to law firms, while an agency veteran is returning from the private sector to serve as a deputy director in the Division of Trading and Markets. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
8 Dec 2020, 10:00 pm
A recent enforcement action (Proceeding) by the US Securities and Exchange Commission (SEC) against a state-chartered trust company (Trust Company) has attracted attention in the banking and asset management industries. [read post]
27 Jul 2012, 3:28 pm
The Securities and Exchange Commission moves to freeze the assets of traders accused of illegally trading in shares in advance of the announced $15 billion acquisition of Nexen, a Canadian oil producer by the state-owned Chinese oil company, Cnooc. [read post]
28 Aug 2012, 2:07 pm
The Dodd-Frank Act directs the Securities and Exchange Commission to regulate the use of conflict minerals that came from Congo and other areas, forcing the agency to engage in foreign policy. [read post]
13 Dec 2023, 10:00 pm
On December 13, 2023, the US Securities and Exchange Commission (SEC) adopted rule amendments (Treasury Clearing Rules) designed to improve risk management in clearance and settlement and to facilitate additional central clearing for the US treasury market. [read post]
29 Jul 2010, 4:07 pm
The Securities and Exchange Commission charged the billionaire Wyly brothers with fraud, saying that they reaped more than $550 million of illicit gains by trading stock in four companies while they were on their boards [read post]
18 May 2020, 10:00 pm
Temporary relief provided by the US Securities and Exchange Commission focuses on financial statements and timing and cancellation requirements with regard to Regulation Crowdfunding, and is expected to make it easier and faster for small businesses to complete offerings. [read post]
2 Sep 2010, 10:21 am
The Securities and Exchange Commission today charged a New Jersey woman and her three investment firms with bilking unsophisticated investors out of at least $11 million dollars via the sale of phony promissory notes. [read post]
25 Aug 2010, 4:13 am
3Par said Tuesday in a filing to the Securities and Exchange Commission that it was holding talks with Hewlett-Packard over the technology giant's $1.6 billion bid for the data-storage company, which is also the acquisition target of Dell. [read post]
24 Mar 2010, 10:25 am
Henning of White Collar Watch examines how the Securities and Exchange Commission provided another example of its mishandling of investigations in a case involving Allied Capital and the hedge fund manager David Einhorn. [read post]
23 May 2007, 1:34 pm
The Securities and Exchange Commission has announced a list of panelists for the agency's May 24 and 25 roundtables on the proxy voting process. [read post]
23 Jul 2010, 12:49 pm
The Securities & Exchange Commission is giving out $1 million for information provided in its insider trading case against Pequot Capital Management, Inc. - the biggest reward in agency history for such a case. [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]
20 Apr 2012, 10:37 am
The Securities and Exchange Commission brought two separate fraud cases on Friday that involved family members, including one in which twin brothers claimed they had a stock-picking robot named Marl. [read post]
