Search for: "Securities and Exchange Commission"
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20 Oct 2010, 4:16 am
Securities and Exchange Commission sued two Georgia-based hedge-fund managers, claiming they defrauded investors by overvaluing illiquid assets to hide losses and collect higher management fees. [read post]
20 Aug 2010, 3:25 pm
The two firms help the Garden State reach a quick resolution--without incurring a fine--to Securities and Exchange Commission charges that it fraudulently marketed $26 billion in government debt. [read post]
8 Oct 2010, 10:32 pm
Securities and Exchange Commission today charged a talk radio show host and two other executives at a Monterey, Calif. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
3 Nov 2010, 1:25 pm
The Securities and Exchange Commission today moved to implement a new whistleblower program, one that includes lavish new rewards and expanded protection, but that has also triggered concerns that it will decimate internal compliance programs. [read post]
11 Jan 2011, 1:25 pm
The Securities and Exchange Commission is starting the year with a bang, announcing a $119 million settlement with the Charles Schwab Corp. for misleading investors and failing to prevent the misuse of nonpublic information. [read post]
14 Jul 2009, 9:42 am
Miller Buckfire, the boutique investment bank specializing in restructurings, said on Tuesday that it has hired a senior official from the Securities and Exchange Commission to start up a new practice to advise companies on government relations. [read post]
22 Nov 2020, 10:00 pm
The US Securities and Exchange Commission (SEC) announced that it voted on November 19, 2020 to adopt rules to modernize, simplify, and enhance certain financial disclosures required of public companies under Regulation S-K. [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]
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]
4 Sep 2009, 4:33 am
A key senator wants to change how the Securities and Exchange Commission is funded, saying the agency needs more resources to prevent future disasters like its failure to detect Bernard Madoff's multibillion-dollar fraud. [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]
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]
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]
24 Nov 2020, 9:37 am
The Securities and Exchange Commission today voted to propose rules that, on a temporary basis and subject to percentage limits (no more than 15% of annual compensation), dollar limits (no more than $75,000 in three years) and other conditions, would... [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]
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]
21 Jul 2010, 7:32 am
Goldman Sachs' lobbying spending rose by roughly 37 percent in the second quarter of 2010, as the company dealt with the fallout of a Securities and Exchange Commission lawsuit and lobbying over an overhaul of the financial services regulatory system.... [read post]
