Search for: "Securities and Exchange Commission"
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14 Jul 2009, 9:42 am
Miller Buckfire, the boutique investment bank specializing in restructurings, said on Tuesday that it has hired a senior official from the Securities and Exchange Commission to start up a new practice to advise companies on government relations. [read post]
24 Feb 2010, 11:23 am
The Securities and Exchange Commission said Wednesday that it still hoped to approve the move of American companies to international accounting standards by the end of 2011, but it laid down a series of conditions before it would approve the shift. [read post]
28 Aug 2012, 2:07 pm
The Dodd-Frank Act directs the Securities and Exchange Commission to regulate the use of conflict minerals that came from Congo and other areas, forcing the agency to engage in foreign policy. [read post]
3 Dec 2012, 11:28 am
The Securities and Exchange Commission says the Chinese affiliates of the five largest United States accounting firms failed to produce work papers from their audits of several China-based companies that are under investigation. [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]
10 Apr 2009, 2:10 pm
Madoff into personal bankruptcy proceedings, over objections from the Securities and Exchange Commission and federal prosecutors. [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]
31 Aug 2010, 8:01 am
Two senior lawyers at the Securities & Exchange Commission are headed to law firms, while an agency veteran is returning from the private sector to serve as a deputy director in the Division of Trading and Markets. [read post]
4 Apr 2010, 12:01 pm
The Securities and Exchange Commission obtained more than $14.2 million for Stanford Financial Group investors in a Panamanian asset sale, the agency said Friday, according to Bloomberg News. [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]
11 Jan 2011, 8:56 am
It sounded like Sutton Resources was in big trouble with the Securities and Exchange Commission. [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]
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]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
8 May 2009, 9:15 am
Michael Lauer, the founder of the hedge fund Lancer Management Group, was ordered by a judge on Friday to pay $62 million to investors after being found liable for fraud last fall in a case brought by the Securities and Exchange Commission. [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]
20 Mar 2012, 5:18 am
The use of certain minerals, mined in strife-torn Africa and used in products like cellphones, is being debated before the Securities and Exchange Commission, Edward Wyatt writes in The New York Times. [read post]
8 Feb 2010, 9:17 pm
Since 1990, the Securities and Exchange Commission has possessed the authority to order respondents to cease-and-desist from present or future violations. [read post]
25 Mar 2020, 9:00 pm
Read our recent LawFlash regarding the US Securities and Exchange Commission’s March 25 announcement of the extension of filing periods covered by previously enacted conditional reporting relief for certain public company filing obligations. [read post]
