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19 Oct 2010, 9:47 am
The Securities and Exchange Commission has announced a series of promotions from within. [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]
15 Dec 2021, 10:00 pm
While the US Securities and Exchange Commission seeks to modernize electronic recordkeeping requirements in a technology-neutral manner, its proposed amendments are unclear as to the permissible use of the “cloud” or distributed ledger technology. [read post]
15 May 2012, 10:36 am
Investigators at the Securities and Exchange Commission and the Justice Department are poking around J.P. [read post]
22 Apr 2010, 4:21 am
Despite apparent flaws in the Securities and Exchange Commission's fraud case against Goldman Sachs, the bank is likely to end up settling with the S.E.C., Charlie Gasparino argues in The Daily Beast. [read post]
8 May 2009, 9:15 am
Michael Lauer, the founder of the hedge fund Lancer Management Group, was ordered by a judge on Friday to pay $62 million to investors after being found liable for fraud last fall in a case brought by the Securities and Exchange Commission. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
30 Mar 2011, 12:02 am
Securities and Exchange Commission (SEC) had cleared the trading of contingent value rights (CVR) under the ticker GCVRZ.O. [read post]
11 Oct 2021, 9:01 am
Securities and Exchange Commission (SEC) and provided internal Facebook documents to Congress and to the press. [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]
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]
4 May 2007, 3:30 pm
I'll be in DC next Monday for a Securities and Exchange Commission Roundtable on the proxy process and shareholder rights. [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]
18 Apr 2008, 6:20 pm
Here's the report from the AP: According to a filing with the Securities and Exchange Commission, Talbots said HSBC will... [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]
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]
4 Nov 2010, 4:29 am
The Securities and Exchange Commission said late Wednesday that it had voted unanimously to abolish so-called naked access to stock markets and require brokers to check trades before they are made. [read post]
15 May 2011, 2:34 pm
Via Pogo's Nick Schwellenbach, see the "..Project On Government Oversight's (POGO) new Securities and Exchange Commission (SEC) revolving door database.... [read post]
20 Jan 2014, 7:00 am
This report is in response to section 108(a) of the JOBS Act, which provides that The Securities and Exchange Commission shall conduct a review... [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]
