Search for: "Securities and Exchange Commission"
Results 1721 - 1740
of 22,154
Sorted by Relevance
|
Sort by Date
8 Dec 2020, 1:30 pm
Over at Defining Ideas, Richard Epstein notes: This past week, Nasdaq announced that it had applied to the Securities and Exchange Commission for authorization to impose diversity requirements on the boards of directors of its listed companies. [read post]
23 Sep 2008, 12:09 am
Given the little dust-up over the Senator McCain's comment that he would remove Christopher Cox as Chair of the Securities and Exchange Commission, and questions as to whether the President has... [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]
19 May 2011, 10:39 am
--Wilmer Cutler Pickering Hale and Dorr to become one of the Securities and Exchange Commission's five commissioners. [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 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]
17 Dec 2010, 10:12 am
Securities and Exchange Commission announced today that Stephen Cohen has been appointed as an associate director of the Division of Enforcement. [read post]
3 Mar 2010, 2:31 am
The Securities and Exchange Commission plans to expand its New York office by about 8 percent this year as the financial regulator focuses more heavily on catching cheaters at hedge funds and brokerages, Reuters reported. [read post]
18 Sep 2009, 2:09 pm
The Securities and Exchange Commission will urge more public disclosure from hedge funds if Congress follows through with plans to make them register with the agency, the agency's chairwoman, Mary L. [read post]
27 Jul 2010, 1:01 pm
The head of the Securities and Exchange Commission said Tuesday that the agency would seek input from businesses and the public before proposing rules to oversee Wall Street and financial companies. [read post]
12 Jun 2009, 11:06 am
Circuit issued an interesting opinion today in Securities Exchange Commission v. [read post]
3 Aug 2012, 7:57 am
According to a complaint filed by the Securities and Exchange Commission, an employee of Bristol-Myers Squibb did little to cover his tracks when he engaged in an insider trading scheme that generated over $300,000 in profits. [read post]
24 May 2004, 5:05 pm
AP is reporting that federal prosecutors have filed new charges against WorldCom's former CEO, Bernard Ebbers, accusing him of making false filings with the Securities and Exchange Commission. [read post]
6 Nov 2009, 4:29 am
The Securities and Exchange Commission on Thursday named Richard Bookstaber, a veteran hedge fund executive whose 2007 book predicted a financial crisis arising from financial derivatives, as a senior policy adviser. [read post]
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]
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]
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]
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]
4 Apr 2010, 11:54 am
A federal judge has thrown out some claims in a civil lawsuit filed by the Securities and Exchange Commission against former Qwest executives, including Joseph P. [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]
