Search for: "Securities and Exchange Commission"
Results 1621 - 1640
of 22,358
Sorted by Relevance
|
Sort by Date
15 Jul 2010, 4:12 pm
While Goldman Sachs's $550 million settlement with the Securities and Exchange Commission may seem impressive at first glance, it's a charge the firm can handle easily. [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]
1 Oct 2010, 5:13 am
The Securities and Exchange Commission brought what very well could be be the first insider-trading lawsuit against a pair of trainmen, both employed by Florida East Coast Industries when it was taken over by Fortress Investment Group in 2007. [read post]
7 May 2010, 3:52 am
Goldman Sachs's lawyers have begun talks with representatives of the Securities and Exchange Commission to settle the fraud charges brought against it by the regulator, The Wall Street Journal reported. [read post]
30 Aug 2012, 9:37 am
After an overhaul stalled at the Securities and Exchange Commission, the Financial Stability Oversight Council could now use a part of Dodd-Frank, called Title VIII, that addresses regulation of the plumbing of the financial system. [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]
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]
13 Sep 2010, 11:47 am
The Securities and Exchange Commission tried to defend its offered $75 million settlement with Citigroup after expressions of frustration and skepticism by U.S. [read post]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [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]
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]
10 May 2011, 6:02 pm
The Justice Department is investigating Google advertising, and Google may have to pay $500 million, according to a Google filing with the Securities and Exchange Commission. [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]
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 Aug 2008, 8:58 pm
Fields Famous Brands, the private-equity-backed cookie retailer, said on Friday it plans to file for Chapter 11 bankruptcy protection to help restructure its business, according to a Securities and Exchange Commission filing. [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]
5 May 2007, 5:43 am
Securities and Exchange Commission Chairman Christopher Cox today announced the SEC will partner with the Elder Law Journal of the University of Illinois College of Law and the Federal Reserve Bank of Chicago to present the Senior Investor Protection Symposium... [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
1 Jul 2013, 1:41 pm
On July 1, 2013, the Securities and Exchange Commission announced that it charged... [read post]
