Search for: "Securities and Exchange Commission"
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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]
23 Jul 2010, 4:13 am
The Securities and Exchange Commission said Thursday that it was issuing a six-month reprieve on a provision in the recent financial overhaul legislation, allowing issuers of asset-backed bonds to omit credit ratings from their offering documents, Bloomberg News reported. [read post]
18 May 2020, 10:00 pm
Temporary relief provided by the US Securities and Exchange Commission focuses on financial statements and timing and cancellation requirements with regard to Regulation Crowdfunding, and is expected to make it easier and faster for small businesses to complete offerings. [read post]
11 Sep 2011, 6:29 pm
Reuters is reporting that a top attorney at the Securities and Exchange Commission halted the enforcement division’s destruction of investigative records. [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 Dec 2011, 1:57 pm
A new "analytics" division of the Securities and Exchange Commission tasked with mining hedge fund data announced actions against six individuals and three hedge fund firms for alleged fraud. [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]
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]
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]
24 Oct 2003, 10:25 am
Cutler, the Securities and Exchange Commission [read post]
19 Jan 2011, 6:41 am
The Securities and Exchange Commission announced Tuesday that Eileen Rominger, the global chief investment officer of Goldman Sachs Asset Management, has been named its director of Investment Management. [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]
9 Jun 2014, 2:00 am
Last week, the Second Circuit Court of Appeals ruled that a district court's rejection of a proposed Securities and Exchange Commission (SEC) settlement for $285 million -- because of the absence of any admissions by defendant Citigroup -- was improper.... [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]
31 Dec 1969, 4:00 pm
Securities Exchange Commission, said last year that a proposal requiring companies to make mandatory disclosures about climate change would be forthcoming. [read post]
10 Apr 2009, 2:10 pm
Madoff into personal bankruptcy proceedings, over objections from the Securities and Exchange Commission and federal prosecutors. [read post]
31 Aug 2007, 1:54 pm
The Securities and Exchange Commission (SEC) has startled the CEOs of over 300 companies with letters asking for more detail in their compensation disclosures on the SEC's new rules. [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]
