Search for: "Securities and Exchange Commission"
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7 Oct 2010, 2:41 pm
The Securities and Exchange Commission accused Larry Wilcox, who played Officer Jon Baker on the popular television show "CHiPs," of taking part in an illicit penny-stock kickback scheme. [read post]
11 Jul 2011, 1:33 pm
Gupta, the former Goldman Sachs and Procter & Gamble director, can proceed with a lawsuit that accuses the Securities and Exchange Commission of violating his constitutional rights. [read post]
25 Oct 2010, 3:07 pm
Billionaire Mark Cuban has offered to pay the Securities and Exchange Commission out of his own pocket in an attempt to speed up the process of obtaining government documents from a Freedom of Information Act request. [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]
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]
10 Apr 2009, 2:10 pm
Madoff into personal bankruptcy proceedings, over objections from the Securities and Exchange Commission and federal prosecutors. [read post]
19 Jan 2011, 6:41 am
The Securities and Exchange Commission announced Tuesday that Eileen Rominger, the global chief investment officer of Goldman Sachs Asset Management, has been named its director of Investment Management. [read post]
3 Feb 2010, 4:49 am
., run by John Paulson, has received an information request from the Securities and Exchange Commission, The Financial Times reported, citing unidentified sources. [read post]
30 Jun 2010, 11:31 am
The Securities and Exchange Commission voted to bar investment managers who make contributions to officials with influence over public pension funds from managing those funds for two years. [read post]
18 May 2020, 10:00 pm
Temporary relief provided by the US Securities and Exchange Commission focuses on financial statements and timing and cancellation requirements with regard to Regulation Crowdfunding, and is expected to make it easier and faster for small businesses to complete offerings. [read post]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [read post]
10 Sep 2009, 4:02 am
Congress is reopening its inquiry into the Securities and Exchange Commission's failure to detect the multibillion-dollar fraud conducted for more than a decade by Bernard L. [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]
18 May 2010, 3:12 pm
The Securities and Exchange Commission on Tuesday proposed a trial of individual circuit breakers on all of the stocks in the Standard & Poor's 500-stock index in response to the May 6 market disruption. [read post]
20 Apr 2012, 10:37 am
The Securities and Exchange Commission brought two separate fraud cases on Friday that involved family members, including one in which twin brothers claimed they had a stock-picking robot named Marl. [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]
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]
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]
11 Oct 2021, 9:01 am
Securities and Exchange Commission (SEC) and provided internal Facebook documents to Congress and to the press. [read post]
4 Feb 2011, 1:33 pm
The Securities and Exchange Commission announced today that Mark Cahn will be its next general counsel. [read post]
