Search for: "Securities and Exchange Commission"
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20 Nov 2006, 5:01 am
Ford Motor said Friday it had been contacted by the Securities and Exchange Commission for additional information about its recent restatement of financial results. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [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]
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 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [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]
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]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
1 Sep 2018, 4:44 am
An attorney left no stone unturned in his effort to avoid discipline in a case that began as a referral from the Securities and Exchange Commission and ended in disbarment by the Nebraska Supreme Court. [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]
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 Apr 2010, 11:54 am
A federal judge has thrown out some claims in a civil lawsuit filed by the Securities and Exchange Commission against former Qwest executives, including Joseph P. [read post]
22 Aug 2011, 6:47 am
The revelation that the Securities and Exchange Commission had a history of destroying documents once again raises questions about how well the agency has exercised its enforcement authority. [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]
1 May 2025, 10:00 pm
Partners Carolyn Welshhans and Kelly Gibson authored an article on Law360 about the US Securities and Exchange Commission’s (SEC’s) continued focus on cybersecurity and artificial intelligence (AI). [read post]
4 May 2007, 3:30 pm
I'll be in DC next Monday for a Securities and Exchange Commission Roundtable on the proxy process and shareholder rights. [read post]
1 Apr 2010, 2:34 am
The Securities and Exchange Commission is considering changing how it deals with settlements over breaches of financial rules, The Washington Post reports, citing Robert Khuzami, the S.E.C.'s enforcement director. [read post]
1 Dec 2011, 1:57 pm
A new "analytics" division of the Securities and Exchange Commission tasked with mining hedge fund data announced actions against six individuals and three hedge fund firms for alleged fraud. [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]
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]
