Search for: "Securities and Exchange Commission"
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5 May 2007, 5:43 am
Securities and Exchange Commission Chairman Christopher Cox today announced the SEC will partner with the Elder Law Journal of the University of Illinois College of Law and the Federal Reserve Bank of Chicago to present the Senior Investor Protection Symposium... [read post]
11 Jul 2023, 10:00 pm
The Securities and Exchange Commission proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and PAB reserve bank accounts. [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]
18 Jun 2009, 11:01 am
Madoff reportedly had a three-hour meeting Wednesday with the inspector general of the Securities and Exchange Commission, CNN reported. [read post]
4 Feb 2011, 1:33 pm
The Securities and Exchange Commission announced today that Mark Cahn will be its next general counsel. [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]
3 Feb 2012, 5:08 am
Even as the Securities and Exchange Commission has stepped up its investigations of Wall Street, the agency has repeatedly allowed the biggest firms to avoid punishments, reported Edward Wyatt for The New York Times. [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]
7 Dec 2016, 8:40 pm
Securities and Exchange Commission 16-529 Issue: Whether the five-year statute of limitations in 28 U.S.C. [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]
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]
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]
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]
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]
16 Apr 2010, 10:09 am
The Securities & Exchange Commission today charged Goldman, Sachs & Co. and one of its vice presidents with fraud in marketing a financial product linked to subprime mortgages as the housing market was beginning to collapse. [read post]
25 Aug 2010, 4:13 am
3Par said Tuesday in a filing to the Securities and Exchange Commission that it was holding talks with Hewlett-Packard over the technology giant's $1.6 billion bid for the data-storage company, which is also the acquisition target of Dell. [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, 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]
17 May 2010, 10:41 am
A former director of McKinsey & Company who pleaded guilty to criminal charges in the Galleon Group insider trading case reached a $2.8 million civil settlement with the Securities and Exchange Commission, according to a court document filed on Monday. [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]
