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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]
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]
20 Nov 2006, 5:01 am
Ford Motor said Friday it had been contacted by the Securities and Exchange Commission for additional information about its recent restatement of financial results. [read post]
1 Oct 2010, 5:13 am
The Securities and Exchange Commission brought what very well could be be the first insider-trading lawsuit against a pair of trainmen, both employed by Florida East Coast Industries when it was taken over by Fortress Investment Group in 2007. [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 Jul 2010, 7:32 am
Goldman Sachs' lobbying spending rose by roughly 37 percent in the second quarter of 2010, as the company dealt with the fallout of a Securities and Exchange Commission lawsuit and lobbying over an overhaul of the financial services regulatory system.... [read post]
1 Sep 2018, 4:44 am
An attorney left no stone unturned in his effort to avoid discipline in a case that began as a referral from the Securities and Exchange Commission and ended in disbarment by the Nebraska Supreme Court. [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]
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]
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]
29 Jul 2010, 4:07 pm
The Securities and Exchange Commission charged the billionaire Wyly brothers with fraud, saying that they reaped more than $550 million of illicit gains by trading stock in four companies while they were on their boards [read post]
26 Oct 2011, 10:12 am
Large hedge funds, which use extensive borrowing to magnify their returns, will be required to report detailed information on their holdings to federal regulators under a new rule adopted by the Securities and Exchange Commission. [read post]
17 Jan 2012, 2:39 pm
David Kotz, who exposed the Securities and Exchange Commission's early mishandling of the Madoff case, said he would join Gryphon Strategies, an investigative company. [read post]
29 Jun 2010, 4:38 pm
The Securities and Exchange Commission on Tuesday charged two Web-savvy advisers with fraud for pumping up penny stocks that they were also selling -- for at least $2.4 million in profit. [read post]
4 Nov 2010, 4:29 am
The Securities and Exchange Commission said late Wednesday that it had voted unanimously to abolish so-called naked access to stock markets and require brokers to check trades before they are made. [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]
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]
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 Jan 2011, 1:25 pm
The Securities and Exchange Commission is starting the year with a bang, announcing a $119 million settlement with the Charles Schwab Corp. for misleading investors and failing to prevent the misuse of nonpublic information. [read post]
21 Sep 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) recently adopted sweeping new rules under the Investment Advisers Act of 1940 (Advisers Act) that apply in certain circumstances to non-US advisers to private investment funds. [read post]
