Search for: "Securities and Exchange Commission"
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21 Jul 2010, 7:32 am
Goldman Sachs' lobbying spending rose by roughly 37 percent in the second quarter of 2010, as the company dealt with the fallout of a Securities and Exchange Commission lawsuit and lobbying over an overhaul of the financial services regulatory system.... [read post]
16 Apr 2010, 11:36 am
Shares of Goldman Sachs fell as much as 15 percent on Friday, pulling down other financial stocks, after the Securities and Exchange Commission filed civil fraud charges against the firm, but is the market overreacting? [read post]
22 Apr 2010, 4:21 am
Despite apparent flaws in the Securities and Exchange Commission's fraud case against Goldman Sachs, the bank is likely to end up settling with the S.E.C., Charlie Gasparino argues in The Daily Beast. [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]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
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]
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]
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]
24 May 2022, 10:34 am
In a watershed opinion, a divided panel of the Fifth Circuit has ruled that the United States Securities and Exchange Commission’s system of in-house administrative tribunals is unconstitutional. [read post]
14 Jul 2022, 10:00 pm
The US Securities and Exchange Commission on July 13 proposed amendments to the shareholder proposal rule, which governs the process for including or excluding a shareholder proposal in a company’s proxy statement. [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]
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]
10 Nov 2010, 12:53 pm
After 32 years on the job as director of regional office operations at the Securities and Exchange Commission, James Clarkson is calling it a day. [read post]
4 Sep 2009, 4:33 am
A key senator wants to change how the Securities and Exchange Commission is funded, saying the agency needs more resources to prevent future disasters like its failure to detect Bernard Madoff's multibillion-dollar fraud. [read post]
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]
3 Nov 2010, 1:25 pm
The Securities and Exchange Commission today moved to implement a new whistleblower program, one that includes lavish new rewards and expanded protection, but that has also triggered concerns that it will decimate internal compliance programs. [read post]
30 Oct 2009, 1:38 pm
Hundreds of exhibits supporting a scathing report on the Securities and Exchange Commission's past investigations of Bernard L. [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]
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]
3 Aug 2012, 1:56 pm
The Securities and Exchange Commission is investigating Teva Pharmaceutical Industries Ltd, the world’s largest manufacturer of generic drugs, for possible violations of a U.S. anti-bribery law. [read post]
