Search for: "Securities and Exchange Commission"
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3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
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]
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]
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]
23 Jun 2011, 7:20 am
The Securities and Exchange Commission has approved new rules that would impose sweeping disclosure requirements on large hedge funds and other private investment advisers, a first for the industry. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
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]
18 Apr 2008, 6:20 pm
Here's the report from the AP: According to a filing with the Securities and Exchange Commission, Talbots said HSBC will... [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]
31 Aug 2007, 1:54 pm
The Securities and Exchange Commission (SEC) has startled the CEOs of over 300 companies with letters asking for more detail in their compensation disclosures on the SEC's new rules. [read post]
11 Jun 2007, 3:14 pm
Here is the biographical information from Usana’s most recent 14A filed with the Securities and Exchange Commission on March 13, 207: (more…) [read post]
18 Sep 2008, 6:47 pm
From The Caucus: Senator John McCain said in Cedar Rapids, Iowa on Thursday that he believed that the chairman of the Securities and Exchange Commission should be fired and that the government should create a new trust to help troubled institutions remain solvent. [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]
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]
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]
8 Feb 2010, 9:17 pm
Since 1990, the Securities and Exchange Commission has possessed the authority to order respondents to cease-and-desist from present or future violations. [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]
22 Nov 2020, 10:00 pm
The US Securities and Exchange Commission (SEC) announced that it voted on November 19, 2020 to adopt rules to modernize, simplify, and enhance certain financial disclosures required of public companies under Regulation S-K. [read post]
