Search for: "Securities and Exchange Commission"
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20 Oct 2010, 4:16 am
Securities and Exchange Commission sued two Georgia-based hedge-fund managers, claiming they defrauded investors by overvaluing illiquid assets to hide losses and collect higher management fees. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
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]
13 Nov 2008, 5:47 pm
Pomfret, an enforcement attorney with the Securities and Exchange Commission in Boston who moonlights as an author and publisher of romance fiction (and erotica) for gay men through his company Romentics.... [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]
24 Nov 2020, 9:37 am
The Securities and Exchange Commission today voted to propose rules that, on a temporary basis and subject to percentage limits (no more than 15% of annual compensation), dollar limits (no more than $75,000 in three years) and other conditions, would... [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]
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]
29 Jun 2010, 3:41 am
In the last two years there have been nine filings from Russian or Ukrainian companies given the go-ahead by the Securities and Exchange Commission, despite the firms themselves lacking even the rudiments of a business set-up. [read post]
15 Aug 2011, 11:49 am
Even if the Securities and Exchange Commission finds that information Standard & Poor's downgrade of the United States' debt was improperly disclosed, proving insider trading will be very difficult. [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]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
15 Mar 2023, 7:29 am
The Justice Department and the Securities and Exchange Commission have launched investigations into the collapse of Silicon Valley Bank. [read post]
4 Dec 2008, 9:23 pm
The Securities and Exchange Commission announced new rules for ratings companies. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
1 Jul 2009, 8:06 am
Casey, a commissioner at the Securities and Exchange Commission, that's not good news. [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]
