Search for: "Securities and Exchange Commission"
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6 Jan 2011, 11:47 am
On December 1, 2010, the Securities and Exchange Commission charged the manager of Opulent Lite, a San Francisco-based hedge fund, with fraud for concealing trading losses. [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]
2 May 2012, 9:00 am
The Securities and Exchange Commission brought a case against the tiny Egan-Jones ratings agency, but has not moved against any top executives of any major ratings firm for actions leading to the financial crisis. [read post]
22 Jun 2011, 10:45 am
The Securities and Exchange Commission approved a new definition for venture capital funds, offering them some relief from some requirements under the Dodd-Frank regulatory overhaul law. [read post]
1 Jul 2013, 1:41 pm
On July 1, 2013, the Securities and Exchange Commission announced that it charged... [read post]
24 Mar 2010, 4:09 am
It seems that the Securities and Exchange Commission may have an even bigger pornography problem than expected. [read post]
23 Jun 2011, 7:20 am
The Securities and Exchange Commission has approved new rules that would impose sweeping disclosure requirements on large hedge funds and other private investment advisers, a first for the industry. [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]
20 Nov 2006, 5:01 am
Ford Motor said Friday it had been contacted by the Securities and Exchange Commission for additional information about its recent restatement of financial results. [read post]
30 Oct 2009, 1:38 pm
Hundreds of exhibits supporting a scathing report on the Securities and Exchange Commission's past investigations of Bernard L. [read post]
26 Oct 2011, 10:12 am
Large hedge funds, which use extensive borrowing to magnify their returns, will be required to report detailed information on their holdings to federal regulators under a new rule adopted by the Securities and Exchange Commission. [read post]
13 Oct 2010, 1:25 pm
Securities and Exchange Commission for improper accounting and disclosure violations, telling a federal judge in Washington that the deal was in the best... [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]
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]
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]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [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]
16 Apr 2010, 10:09 am
The Securities & Exchange Commission today charged Goldman, Sachs & Co. and one of its vice presidents with fraud in marketing a financial product linked to subprime mortgages as the housing market was beginning to collapse. [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]
