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15 Dec 2021, 10:00 pm
While the US Securities and Exchange Commission seeks to modernize electronic recordkeeping requirements in a technology-neutral manner, its proposed amendments are unclear as to the permissible use of the “cloud” or distributed ledger technology. [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]
23 Jul 2010, 4:13 am
The Securities and Exchange Commission said Thursday that it was issuing a six-month reprieve on a provision in the recent financial overhaul legislation, allowing issuers of asset-backed bonds to omit credit ratings from their offering documents, Bloomberg News reported. [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]
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]
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]
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]
15 May 2011, 2:34 pm
Via Pogo's Nick Schwellenbach, see the "..Project On Government Oversight's (POGO) new Securities and Exchange Commission (SEC) revolving door database.... [read post]
9 Apr 2012, 2:39 pm
The Securities and Exchange Commission sued Benedict Van on Monday, accusing him of luring unsophisticated retail investors with "false and misleading" promises about start-ups that he claimed would be the "next Google. [read post]
15 May 2012, 10:36 am
Investigators at the Securities and Exchange Commission and the Justice Department are poking around J.P. [read post]
8 Jun 2009, 7:45 am
CHRIS DODD UPDATE: “Senate Banking Committee Chairman Chris Dodd (D-Conn.) seems to attract friends who, in turn, attract scrutiny from the Securities and Exchange Commission. [read post]
27 Jul 2012, 3:28 pm
The Securities and Exchange Commission moves to freeze the assets of traders accused of illegally trading in shares in advance of the announced $15 billion acquisition of Nexen, a Canadian oil producer by the state-owned Chinese oil company, Cnooc. [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]
15 Dec 2021, 10:00 pm
While the US Securities and Exchange Commission seeks to modernize electronic recordkeeping requirements in a technology-neutral manner, its proposed amendments are unclear as to the permissible use of the “cloud” or distributed ledger technology. [read post]
2 Sep 2010, 10:21 am
The Securities and Exchange Commission today charged a New Jersey woman and her three investment firms with bilking unsophisticated investors out of at least $11 million dollars via the sale of phony promissory notes. [read post]
11 Sep 2011, 6:29 pm
Reuters is reporting that a top attorney at the Securities and Exchange Commission halted the enforcement division’s destruction of investigative records. [read post]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [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]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
