Search for: "Securities and Exchange Commission"
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21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
15 Mar 2023, 7:29 am
The Justice Department and the Securities and Exchange Commission have launched investigations into the collapse of Silicon Valley Bank. [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]
4 Dec 2008, 9:23 pm
The Securities and Exchange Commission announced new rules for ratings companies. [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]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [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]
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]
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]
1 Sep 2018, 4:44 am
An attorney left no stone unturned in his effort to avoid discipline in a case that began as a referral from the Securities and Exchange Commission and ended in disbarment by the Nebraska Supreme Court. [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]
29 Sep 2010, 10:03 am
Chamber of Commerce and the Business Roundtable filed suit against the Securities & Exchange Commission today, objecting to new proxy access rules for nominating corporate directors. [read post]
25 Aug 2009, 2:47 am
The Securities and Exchange Commission and Bank of America on Monday defended the fairness of their proposed $33 million settlement over executive bonuses paid out by Merrill Lynch, and the bank maintained it didn't mislead investors in the affair. [read post]
5 May 2010, 4:29 am
Not content with rooting out fraud in the banking sector, the Securities and Exchange Commission has begun an investigation into companies that do business in the countries designated by the U.S. [read post]
14 Feb 2011, 10:35 am
A third defendant has settled with the Securities and Exchange Commission. [read post]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [read post]
10 Nov 2010, 2:41 pm
The Securities and Exchange Commission today announced that Wilmer Cutler Pickering Hale and Dorr partner Joseph Brenner has been named chief counsel of the Division of Enforcement. [read post]
15 Dec 2010, 9:22 am
Lawyers for Dallas Mavericks owner Mark Cuban continue to press their case that the Securities and Exchange Commission should accept thousands of dollars in private money to help expedite a public records request that the agency said it cannot begin... [read post]
1 Jul 2009, 8:06 am
Casey, a commissioner at the Securities and Exchange Commission, that's not good news. [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]
