Search for: "Securities and Exchange Commission"
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30 Mar 2011, 12:02 am
Securities and Exchange Commission (SEC) had cleared the trading of contingent value rights (CVR) under the ticker GCVRZ.O. [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]
16 Apr 2010, 11:36 am
Shares of Goldman Sachs fell as much as 15 percent on Friday, pulling down other financial stocks, after the Securities and Exchange Commission filed civil fraud charges against the firm, but is the market overreacting? [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]
16 Mar 2012, 7:20 am
The Securities and Exchange Commission has accused a broker of trading on information he learned through a relationship formed at Alcoholics Anonymous, in a case that will test the limits of what can constitute a duty of "trust and confidence. [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]
3 Mar 2010, 2:31 am
The Securities and Exchange Commission plans to expand its New York office by about 8 percent this year as the financial regulator focuses more heavily on catching cheaters at hedge funds and brokerages, Reuters reported. [read post]
5 May 2010, 4:29 am
Not content with rooting out fraud in the banking sector, the Securities and Exchange Commission has begun an investigation into companies that do business in the countries designated by the U.S. [read post]
5 Jan 2009, 12:12 pm
For those on Wall Street who hope that 2009 will bring some relief from mark-to-market accounting rules, the Securities and Exchange Commission had some glum tidings last week. [read post]
4 Apr 2010, 11:54 am
A federal judge has thrown out some claims in a civil lawsuit filed by the Securities and Exchange Commission against former Qwest executives, including Joseph P. [read post]
22 Jan 2015, 4:27 pm
Securities and Exchange Commission on Monday resolved its... [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]
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]
21 Sep 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) recently adopted sweeping new rules under the Investment Advisers Act of 1940 (Advisers Act) that apply in certain circumstances to non-US advisers to private investment funds. [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]
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]
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]
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]
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]
