Search for: "Securities and Exchange Commission"
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10 Aug 2010, 3:50 am
Goldman Sachs is under investigation by United States and British watchdogs over the timing of disclosures relating to the Securities and Exchange Commission's fraud charges against the firm, The Telegraph reported. [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]
1 May 2025, 10:00 pm
Partners Carolyn Welshhans and Kelly Gibson authored an article on Law360 about the US Securities and Exchange Commission’s (SEC’s) continued focus on cybersecurity and artificial intelligence (AI). [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 May 2011, 2:34 pm
Via Pogo's Nick Schwellenbach, see the "..Project On Government Oversight's (POGO) new Securities and Exchange Commission (SEC) revolving door database.... [read post]
15 May 2012, 10:36 am
Investigators at the Securities and Exchange Commission and the Justice Department are poking around J.P. [read post]
23 Dec 2009, 2:26 am
Triton Financial, which co-sponsors the Heisman Trophy Trust, has been sued by the Securities and Exchange Commission, which alleges the firm defrauded investors in an insurance venture, The Dallas Morning News reported. [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]
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]
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 2023, 10:00 pm
On December 13, 2023, the US Securities and Exchange Commission (SEC) adopted rule amendments (Treasury Clearing Rules) designed to improve risk management in clearance and settlement and to facilitate additional central clearing for the US treasury market. [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]
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]
13 Dec 2023, 10:00 pm
On December 13, 2023, the US Securities and Exchange Commission (SEC) adopted rule amendments (Treasury Clearing Rules) designed to improve risk management in clearance and settlement and to facilitate additional central clearing for the US treasury market. [read post]
11 Jul 2023, 10:00 pm
The Securities and Exchange Commission proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and PAB reserve bank accounts. [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]
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]
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]
11 Jul 2023, 10:00 pm
The Securities and Exchange Commission proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and PAB reserve bank accounts. [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]
