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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]
10 Nov 2010, 2:41 pm
The Securities and Exchange Commission today announced that Wilmer Cutler Pickering Hale and Dorr partner Joseph Brenner has been named chief counsel of the Division of Enforcement. [read post]
24 May 2004, 5:05 pm
AP is reporting that federal prosecutors have filed new charges against WorldCom's former CEO, Bernard Ebbers, accusing him of making false filings with the Securities and Exchange Commission. [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]
1 May 2025, 10:00 pm
Partners Carolyn Welshhans and Kelly Gibson authored an article on Law360 about the US Securities and Exchange Commission’s (SEC’s) continued focus on cybersecurity and artificial intelligence (AI). [read post]
10 Jun 2010, 9:44 am
The Securities and Exchange Commission on Thursday approved new rules that would require a pause in trading in any individual stock if the price moves 10 percent or more in a five-minute period. [read post]
1 Oct 2009, 1:33 am
Phillip Goldstein, who two years ago successfully sued the Securities and Exchange Commission to overturn a rule requiring hedge fund managers to register as investment advisers, has not been so successful in his latest crusade. [read post]
29 Mar 2010, 9:55 pm
Securities and Exchange Commission. [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]
15 Mar 2023, 7:29 am
The Justice Department and the Securities and Exchange Commission have launched investigations into the collapse of Silicon Valley Bank. [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]
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]
6 Nov 2009, 4:29 am
The Securities and Exchange Commission on Thursday named Richard Bookstaber, a veteran hedge fund executive whose 2007 book predicted a financial crisis arising from financial derivatives, as a senior policy adviser. [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]
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]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
18 Apr 2017, 12:34 pm
Securities and Exchange Commission is here; the transcript in Henson v. [read post]
20 Oct 2010, 4:16 am
Securities and Exchange Commission sued two Georgia-based hedge-fund managers, claiming they defrauded investors by overvaluing illiquid assets to hide losses and collect higher management fees. [read post]
13 May 2011, 5:12 pm
The Securities and Exchange Commission said a former enforcement official was the subject of a federal criminal investigation for doing legal work for R. [read post]
27 Jul 2010, 1:01 pm
The head of the Securities and Exchange Commission said Tuesday that the agency would seek input from businesses and the public before proposing rules to oversee Wall Street and financial companies. [read post]
