Search for: "Securities and Exchange Commission"
Results 1721 - 1740
of 22,487
Sorted by Relevance
|
Sort by Date
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]
30 Aug 2012, 9:37 am
After an overhaul stalled at the Securities and Exchange Commission, the Financial Stability Oversight Council could now use a part of Dodd-Frank, called Title VIII, that addresses regulation of the plumbing of the financial system. [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]
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]
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]
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]
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]
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]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [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]
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]
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]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
23 Apr 2007, 9:41 pm
The Securities Exchange Commission issued a release today stating that an order had been entered that permanently bars Scrushy from serving as an officer or director of a public company, permanently enjoins Scrushy from committing future violations of the antifraud... [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]
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]
25 Sep 2009, 8:13 pm
Although it has not received much publicity (perhaps due to the fact that it does not appear on the agency's website), last month the Securities and Exchange Commission filed an amicus brief in the U.S. [read post]
13 Sep 2010, 11:47 am
The Securities and Exchange Commission tried to defend its offered $75 million settlement with Citigroup after expressions of frustration and skepticism by U.S. [read post]
1 Oct 2009, 1:33 am
Phillip Goldstein, who two years ago successfully sued the Securities and Exchange Commission to overturn a rule requiring hedge fund managers to register as investment advisers, has not been so successful in his latest crusade. [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]
