Search for: "Securities and Exchange Commission"
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3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
1 Apr 2010, 2:34 am
The Securities and Exchange Commission is considering changing how it deals with settlements over breaches of financial rules, The Washington Post reports, citing Robert Khuzami, the S.E.C.'s enforcement director. [read post]
16 Jun 2010, 9:17 am
White Collar Watch examines how Dell's proposed settlement of an accounting case with the Securities and Exchange Commission may provide a guide for Goldman Sachs to settle its civil fraud case. [read post]
29 Sep 2010, 10:31 am
A federal appeals court ruled against the Securities and Exchange Commission in its effort to get government wiretaps to use in its insider-trading case against against the founder of the Galleon Group. [read post]
3 Feb 2012, 5:08 am
Even as the Securities and Exchange Commission has stepped up its investigations of Wall Street, the agency has repeatedly allowed the biggest firms to avoid punishments, reported Edward Wyatt for The New York Times. [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]
5 Sep 2012, 9:00 am
The Securities and Exchange Commission has proposed rules to lift advertising restrictions for hedge funds, but the way this looks on paper and the way it will play out in the real world are a tad different. [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]
13 Nov 2008, 5:47 pm
Pomfret, an enforcement attorney with the Securities and Exchange Commission in Boston who moonlights as an author and publisher of romance fiction (and erotica) for gay men through his company Romentics.... [read post]
9 Mar 2010, 2:31 pm
A former stock loan trader at Morgan Stanley and Bank of America in New York received well over $100,000 of cash kickbacks by steering orders to other brokerage firms, the Securities and Exchange Commission said in a lawsuit filed Tuesday. [read post]
19 Mar 2010, 2:21 am
Merrill Lynch tipped off U.S. regulators like the Securities Exchange Commission and the Federal Reserve that Lehman Brothers was playing with how it booked its capital in 2008, The Financial Times reported. [read post]
24 Mar 2011, 12:40 pm
Here is the abstract: The role of the Securities and Exchange Commission in the corporate governance process has shifted... [read post]
24 Sep 2007, 10:56 am
Securities and Exchange Commission Chairman Christopher Cox announced today that the combined market capitalization of companies submitting interactive data financial reports to the SEC has surpassed $2 trillion.... [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]
22 Aug 2011, 6:47 am
The revelation that the Securities and Exchange Commission had a history of destroying documents once again raises questions about how well the agency has exercised its enforcement authority. [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]
22 Nov 2010, 12:04 pm
Pitt, a former chairman of the Securities and Exchange Commission, says investment firms may be required to spend more time on compliance as a result of the insider trading investigation. [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]
24 May 2022, 10:34 am
In a watershed opinion, a divided panel of the Fifth Circuit has ruled that the United States Securities and Exchange Commission’s system of in-house administrative tribunals is unconstitutional. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
