Search for: "Securities and Exchange Commission"
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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]
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]
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]
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]
7 Oct 2010, 2:41 pm
The Securities and Exchange Commission accused Larry Wilcox, who played Officer Jon Baker on the popular television show "CHiPs," of taking part in an illicit penny-stock kickback scheme. [read post]
2 Nov 2010, 4:02 am
Securities and Exchange Commission's lawsuit against him was rejected by a federal judge in New York, Bloomberg News reported. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
18 Apr 2017, 12:34 pm
Securities and Exchange Commission is here; the transcript in Henson v. [read post]
23 Jun 2009, 11:54 am
The Security and Exchange Commission is reconsidering a loophole in the regulatory system that has allowed firms to launch activist campaigns against unsuspecting companies by quietly amassing big positions in their stock. [read post]
17 Aug 2010, 2:18 pm
White Collar Watch examines how the Securities and Exchange Commission has run into federal court resistance to its settlements and how the agency might have an alternative for approving them. [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]
2 Aug 2014, 4:00 am
The Securities Exchange Commission says that Horowitz was selling variable annuities contracts to investors that were marketed as short-term... [read post]
10 Sep 2009, 4:02 am
Congress is reopening its inquiry into the Securities and Exchange Commission's failure to detect the multibillion-dollar fraud conducted for more than a decade by Bernard L. [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]
8 Feb 2010, 1:04 pm
A federal judge put a Securities and Exchange Commission lawyer on the defensive on Monday afternoon over a settlement resolving civil charges that accused Bank of America of misleading investors when it acquired Merrill Lynch. [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]
16 May 2022, 10:41 am
Here is the question presented: Whether a federal district court has jurisdiction to hear a suit in which the respondent in an ongoing Securities and Exchange Commission administrative proceeding seeks... [read post]
29 Nov 2023, 7:02 am
The Supreme Court is hearing arguments in a challenge to the Securities and Exchange Commission's ability to fight fraud. [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]
11 Jul 2011, 1:33 pm
Gupta, the former Goldman Sachs and Procter & Gamble director, can proceed with a lawsuit that accuses the Securities and Exchange Commission of violating his constitutional rights. [read post]
