Search for: "Securities and Exchange Commission"
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25 Aug 2009, 2:47 am
The Securities and Exchange Commission and Bank of America on Monday defended the fairness of their proposed $33 million settlement over executive bonuses paid out by Merrill Lynch, and the bank maintained it didn't mislead investors in the affair. [read post]
26 Apr 2010, 5:15 am
The Security and Exchange Commission assembled an eclectic team in its pursuit of Goldman, The Washington Post reported. [read post]
18 Jan 2012, 10:00 am
The Securities Exchange Commission revised one of the wealth requirements for individuals looking to invest in private offerings. [read post]
16 Jun 2010, 9:17 am
White Collar Watch examines how Dell's proposed settlement of an accounting case with the Securities and Exchange Commission may provide a guide for Goldman Sachs to settle its civil fraud case. [read post]
16 Apr 2012, 3:51 pm
City Capital Corp. and two former executives operated an $11 million Ponzi scheme that targeted socially conscious investors in church settings, according to charges by 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]
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]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [read post]
8 Oct 2010, 10:32 pm
Securities and Exchange Commission today charged a talk radio show host and two other executives at a Monterey, Calif. [read post]
25 Nov 2011, 7:10 am
Katharine Gresham, a former assistant general counsel the Securities and Exchange Commission, takes a look at one of Bernard L. [read post]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [read post]
16 May 2022, 10:41 am
Here is the question presented: Whether a federal district court has jurisdiction to hear a suit in which the respondent in an ongoing Securities and Exchange Commission administrative proceeding seeks... [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]
1 Nov 2010, 4:22 pm
The Securities and Exchange Commission is investigating whether JPMorgan Chase adequately disclosed to investors that a hedge fund had a role in selecting the pieces of a 2007 collateralized debt obligation, ProPublica reports. [read post]
24 Feb 2010, 11:23 am
The Securities and Exchange Commission said Wednesday that it still hoped to approve the move of American companies to international accounting standards by the end of 2011, but it laid down a series of conditions before it would approve the shift. [read post]
30 Mar 2012, 12:48 pm
Andrew Michaelson is leaving the Securities and Exchange Commission to join Boies, Schiller & Flexner, where he will work in the firm's litigation practice and specialize in white-collar criminal defense. [read post]
5 Aug 2014, 2:00 pm
Securities and exchange Commission has said that Samuel and the estate of Charles Wyly ought to pay as much as &750 million for using a web of offshore trusts to illegally hide stock holdings and... [read post]
7 Dec 2016, 8:40 pm
Securities and Exchange Commission 16-529 Issue: Whether the five-year statute of limitations in 28 U.S.C. [read post]
8 Dec 2020, 1:30 pm
Over at Defining Ideas, Richard Epstein notes: This past week, Nasdaq announced that it had applied to the Securities and Exchange Commission for authorization to impose diversity requirements on the boards of directors of its listed companies. [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]
