Search for: "Securities and Exchange Commission"
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10 May 2011, 6:02 pm
The Justice Department is investigating Google advertising, and Google may have to pay $500 million, according to a Google filing with the Securities and Exchange Commission. [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]
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]
18 Jan 2012, 10:00 am
The Securities Exchange Commission revised one of the wealth requirements for individuals looking to invest in private offerings. [read post]
29 Mar 2010, 9:55 pm
Securities and Exchange Commission. [read post]
3 Dec 2012, 11:28 am
The Securities and Exchange Commission says the Chinese affiliates of the five largest United States accounting firms failed to produce work papers from their audits of several China-based companies that are under investigation. [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]
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]
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]
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]
2 Oct 2007, 1:45 pm
The Securities and Exchange Commission is proposing to increase the net asset requirement for individuals seeking to invest in hedge funds to $2.5 million from $1 million. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [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]
20 Mar 2012, 5:18 am
The use of certain minerals, mined in strife-torn Africa and used in products like cellphones, is being debated before the Securities and Exchange Commission, Edward Wyatt writes in The New York Times. [read post]
8 Jun 2009, 7:45 am
CHRIS DODD UPDATE: “Senate Banking Committee Chairman Chris Dodd (D-Conn.) seems to attract friends who, in turn, attract scrutiny from the Securities and Exchange Commission. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [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]
30 May 2007, 5:21 am
Barney Frank, not an easy customer to please, says Chris Cox "has done a good job" as head of the Securities and Exchange Commission, some of the usual suspects are not about to forgive Cox for his... [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]
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]
