Search for: "Securities and Exchange Commission"
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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]
18 Apr 2017, 12:34 pm
Securities and Exchange Commission is here; the transcript in Henson v. [read post]
6 Jan 2011, 11:47 am
On December 1, 2010, the Securities and Exchange Commission charged the manager of Opulent Lite, a San Francisco-based hedge fund, with fraud for concealing trading losses. [read post]
13 Oct 2010, 1:25 pm
Securities and Exchange Commission for improper accounting and disclosure violations, telling a federal judge in Washington that the deal was in the best... [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]
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]
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]
27 Jul 2010, 1:01 pm
The head of the Securities and Exchange Commission said Tuesday that the agency would seek input from businesses and the public before proposing rules to oversee Wall Street and financial companies. [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 2010, 3:12 pm
The Securities and Exchange Commission on Tuesday proposed a trial of individual circuit breakers on all of the stocks in the Standard & Poor's 500-stock index in response to the May 6 market disruption. [read post]
24 May 2004, 5:05 pm
AP is reporting that federal prosecutors have filed new charges against WorldCom's former CEO, Bernard Ebbers, accusing him of making false filings with the Securities and Exchange Commission. [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]
2 Dec 2010, 1:02 pm
Securities and Exchange Commission. [read post]
6 Nov 2009, 4:29 am
The Securities and Exchange Commission on Thursday named Richard Bookstaber, a veteran hedge fund executive whose 2007 book predicted a financial crisis arising from financial derivatives, as a senior policy adviser. [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]
10 Jun 2010, 9:44 am
The Securities and Exchange Commission on Thursday approved new rules that would require a pause in trading in any individual stock if the price moves 10 percent or more in a five-minute period. [read post]
30 Jun 2010, 11:31 am
The Securities and Exchange Commission voted to bar investment managers who make contributions to officials with influence over public pension funds from managing those funds for two years. [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]
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]
