Search for: "Securities and Exchange Commission"
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28 May 2009, 4:28 pm
Mark Cuban, the billionaire owner of the Dallas Mavericks basketball team, sued the Securities and Exchange Commission on Thursday, asserting that the S.E.C. unlawfully withheld documents about an insider-trading investigation of him. [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]
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]
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]
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]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
2 Nov 2010, 4:02 am
Securities and Exchange Commission's lawsuit against him was rejected by a federal judge in New York, Bloomberg News reported. [read post]
6 Jun 2013, 10:40 am
This came across the Twitter-machine while I was sitting in the 8th Annual Carroll School Finance Conference this morning: The Securities and Exchange Commission today announced an emergency court order to freeze the assets of a trader in Bangkok, Thailand,... [read post]
23 Jul 2010, 12:49 pm
The Securities & Exchange Commission is giving out $1 million for information provided in its insider trading case against Pequot Capital Management, Inc. - the biggest reward in agency history for such a case. [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]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
29 Sep 2010, 10:31 am
A federal appeals court ruled against the Securities and Exchange Commission in its effort to get government wiretaps to use in its insider-trading case against against the founder of the Galleon Group. [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]
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]
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]
31 Dec 1969, 4:00 pm
Securities Exchange Commission, said last year that a proposal requiring companies to make mandatory disclosures about climate change would be forthcoming. [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]
