Search for: "Securities and Exchange Commission"
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4 Apr 2010, 12:01 pm
The Securities and Exchange Commission obtained more than $14.2 million for Stanford Financial Group investors in a Panamanian asset sale, the agency said Friday, according to Bloomberg News. [read post]
3 Feb 2010, 4:49 am
., run by John Paulson, has received an information request from the Securities and Exchange Commission, The Financial Times reported, citing unidentified sources. [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]
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]
16 Mar 2012, 7:20 am
The Securities and Exchange Commission has accused a broker of trading on information he learned through a relationship formed at Alcoholics Anonymous, in a case that will test the limits of what can constitute a duty of "trust and confidence. [read post]
4 Oct 2010, 1:36 pm
A Fifth Circuit Court of Appeals decision in the case of Securities Exchange Commission v. [read post]
15 Aug 2008, 8:58 pm
Fields Famous Brands, the private-equity-backed cookie retailer, said on Friday it plans to file for Chapter 11 bankruptcy protection to help restructure its business, according to a Securities and Exchange Commission filing. [read post]
10 May 2010, 12:16 pm
Shares in the Moody's Corporation remained down on Monday after the firm disclosed late on Friday that it received notice of a Securities and Exchange Commission investigation over its credit-rating policies. [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]
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]
26 Apr 2010, 5:15 am
The Security and Exchange Commission assembled an eclectic team in its pursuit of Goldman, The Washington Post reported. [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]
29 Jun 2010, 3:41 am
In the last two years there have been nine filings from Russian or Ukrainian companies given the go-ahead by the Securities and Exchange Commission, despite the firms themselves lacking even the rudiments of a business set-up. [read post]
2 Oct 2017, 7:31 am
A majority of the United States Court of Appeals for the District of Columbia Circuit in the main upheld findings by the SEC The Securities and Exchange Commission found that Francis Lorenzo sent email messages to investors containing misrepresentations about... [read post]
26 Aug 2020, 10:00 pm
The US Securities and Exchange Commission announced that it voted on August 26 to adopt amendments to Regulation S-K to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make. [read post]
5 Jan 2009, 12:12 pm
For those on Wall Street who hope that 2009 will bring some relief from mark-to-market accounting rules, the Securities and Exchange Commission had some glum tidings last week. [read post]
23 Dec 2009, 2:26 am
Triton Financial, which co-sponsors the Heisman Trophy Trust, has been sued by the Securities and Exchange Commission, which alleges the firm defrauded investors in an insurance venture, The Dallas Morning News reported. [read post]
17 Jan 2012, 2:39 pm
David Kotz, who exposed the Securities and Exchange Commission's early mishandling of the Madoff case, said he would join Gryphon Strategies, an investigative company. [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]
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]
