Search for: "Securities and Exchange Commission"
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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]
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]
23 Jul 2010, 12:49 pm
The Securities & Exchange Commission is giving out $1 million for information provided in its insider trading case against Pequot Capital Management, Inc. - the biggest reward in agency history for such a case. [read post]
24 Mar 2010, 4:09 am
It seems that the Securities and Exchange Commission may have an even bigger pornography problem than expected. [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]
11 Oct 2021, 9:01 am
Securities and Exchange Commission (SEC) and provided internal Facebook documents to Congress and to the press. [read post]
14 May 2010, 4:05 am
The Securities and Exchange Commission is investigating whether Wall Street banks used their own money to bet against municipal bonds they had sold, The Wall Street Journal reported. [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]
14 Feb 2011, 10:35 am
A third defendant has settled with the Securities and Exchange Commission. [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]
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]
15 Aug 2008, 8:58 pm
Fields Famous Brands, the private-equity-backed cookie retailer, said on Friday it plans to file for Chapter 11 bankruptcy protection to help restructure its business, according to a Securities and Exchange Commission filing. [read post]
28 May 2009, 4:28 pm
Mark Cuban, the billionaire owner of the Dallas Mavericks basketball team, sued the Securities and Exchange Commission on Thursday, asserting that the S.E.C. unlawfully withheld documents about an insider-trading investigation of him. [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]
11 Oct 2021, 9:01 am
Securities and Exchange Commission (SEC) and provided internal Facebook documents to Congress and to the press. [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]
20 Aug 2008, 11:34 am
EDGAR, the computer database for filing documents with the Securities and Exchange Commission, is giving way to a new system that aims to let investors more easily analyze corporate reports and other financial information. [read post]
15 Dec 2021, 10:00 pm
While the US Securities and Exchange Commission seeks to modernize electronic recordkeeping requirements in a technology-neutral manner, its proposed amendments are unclear as to the permissible use of the “cloud” or distributed ledger technology. [read post]
7 May 2010, 3:52 am
Goldman Sachs's lawyers have begun talks with representatives of the Securities and Exchange Commission to settle the fraud charges brought against it by the regulator, The Wall Street Journal reported. [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]
