Search for: "Securities and Exchange Commission"
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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]
13 Dec 2020, 10:00 pm
Financial markets and fund investment practices have changed substantially since the US Securities and Exchange Commission (SEC) last addressed fund valuation comprehensively 50 years ago. [read post]
29 Nov 2023, 7:02 am
The Supreme Court is hearing arguments in a challenge to the Securities and Exchange Commission's ability to fight fraud. [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]
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]
9 Mar 2010, 2:31 pm
A former stock loan trader at Morgan Stanley and Bank of America in New York received well over $100,000 of cash kickbacks by steering orders to other brokerage firms, the Securities and Exchange Commission said in a lawsuit filed Tuesday. [read post]
13 May 2011, 5:12 pm
The Securities and Exchange Commission said a former enforcement official was the subject of a federal criminal investigation for doing legal work for R. [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 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]
6 Jun 2013, 10:40 am
This came across the Twitter-machine while I was sitting in the 8th Annual Carroll School Finance Conference this morning: The Securities and Exchange Commission today announced an emergency court order to freeze the assets of a trader in Bangkok, Thailand,... [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]
15 Dec 2010, 9:22 am
Lawyers for Dallas Mavericks owner Mark Cuban continue to press their case that the Securities and Exchange Commission should accept thousands of dollars in private money to help expedite a public records request that the agency said it cannot begin... [read post]
22 Nov 2020, 10:00 pm
The US Securities and Exchange Commission (SEC) announced that it voted on November 19, 2020 to adopt rules to modernize, simplify, and enhance certain financial disclosures required of public companies under Regulation S-K. [read post]
22 Nov 2020, 10:00 pm
The US Securities and Exchange Commission (SEC) announced that it voted on November 19, 2020 to adopt rules to modernize, simplify, and enhance certain financial disclosures required of public companies under Regulation S-K. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
2 Nov 2010, 4:02 am
Securities and Exchange Commission's lawsuit against him was rejected by a federal judge in New York, Bloomberg News reported. [read post]
19 Oct 2010, 9:47 am
The Securities and Exchange Commission has announced a series of promotions from within. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [read post]
17 Aug 2010, 2:18 pm
White Collar Watch examines how the Securities and Exchange Commission has run into federal court resistance to its settlements and how the agency might have an alternative for approving them. [read post]
4 Oct 2010, 1:36 pm
A Fifth Circuit Court of Appeals decision in the case of Securities Exchange Commission v. [read post]
