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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]
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]
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]
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]
5 Aug 2014, 2:00 pm
Securities and exchange Commission has said that Samuel and the estate of Charles Wyly ought to pay as much as &750 million for using a web of offshore trusts to illegally hide stock holdings and... [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]
9 Apr 2012, 2:39 pm
The Securities and Exchange Commission sued Benedict Van on Monday, accusing him of luring unsophisticated retail investors with "false and misleading" promises about start-ups that he claimed would be the "next Google. [read post]
16 Apr 2012, 3:51 pm
City Capital Corp. and two former executives operated an $11 million Ponzi scheme that targeted socially conscious investors in church settings, according to charges by the Securities and Exchange Commission. [read post]
3 Aug 2012, 1:56 pm
The Securities and Exchange Commission is investigating Teva Pharmaceutical Industries Ltd, the world’s largest manufacturer of generic drugs, for possible violations of a U.S. anti-bribery law. [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]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [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]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [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]
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]
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]
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]
17 May 2010, 10:41 am
A former director of McKinsey & Company who pleaded guilty to criminal charges in the Galleon Group insider trading case reached a $2.8 million civil settlement with the Securities and Exchange Commission, according to a court document filed on Monday. [read post]
