Search for: "Securities and Exchange Commission"
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1 Jul 2009, 8:06 am
Casey, a commissioner at the Securities and Exchange Commission, that's not good news. [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]
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]
20 Aug 2008, 11:34 am
EDGAR, the computer database for filing documents with the Securities and Exchange Commission, is giving way to a new system that aims to let investors more easily analyze corporate reports and other financial information. [read post]
3 Apr 2010, 8:30 am
Henning of White Collar Watch examines the prolonged insider trading case against Mark Cuban, the owner of the Dallas Mavericks, and wonders whether the Securities and Exchange Commission should beware of litigating against billionaires. [read post]
20 Aug 2010, 3:25 pm
The two firms help the Garden State reach a quick resolution--without incurring a fine--to Securities and Exchange Commission charges that it fraudulently marketed $26 billion in government debt. [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]
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]
19 Oct 2010, 9:47 am
The Securities and Exchange Commission has announced a series of promotions from within. [read post]
18 Jun 2009, 11:01 am
Madoff reportedly had a three-hour meeting Wednesday with the inspector general of the Securities and Exchange Commission, CNN reported. [read post]
1 Aug 2010, 4:00 am
The Securities and Exchange Commission filed a civil complaint against Sam and Charles Wyly on Thursday. [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]
23 May 2007, 1:34 pm
The Securities and Exchange Commission has announced a list of panelists for the agency's May 24 and 25 roundtables on the proxy voting process. [read post]
11 Jul 2023, 10:00 pm
The Securities and Exchange Commission proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and PAB reserve bank accounts. [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]
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]
30 Nov 2010, 12:36 pm
The Securities and Exchange Commission today charged a former Deloitte Tax LLP partner and his wife with insider trading, alleging that the pair leaked confidential information about pending mergers and acquisitions to relatives in England. [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]
10 May 2010, 12:16 pm
Shares in the Moody's Corporation remained down on Monday after the firm disclosed late on Friday that it received notice of a Securities and Exchange Commission investigation over its credit-rating policies. [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
