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22 Apr 2010, 4:21 am
Despite apparent flaws in the Securities and Exchange Commission's fraud case against Goldman Sachs, the bank is likely to end up settling with the S.E.C., Charlie Gasparino argues in The Daily Beast. [read post]
1 Nov 2010, 4:22 pm
The Securities and Exchange Commission is investigating whether JPMorgan Chase adequately disclosed to investors that a hedge fund had a role in selecting the pieces of a 2007 collateralized debt obligation, ProPublica reports. [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]
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]
3 Aug 2012, 7:57 am
According to a complaint filed by the Securities and Exchange Commission, an employee of Bristol-Myers Squibb did little to cover his tracks when he engaged in an insider trading scheme that generated over $300,000 in profits. [read post]
25 Oct 2010, 3:07 pm
Billionaire Mark Cuban has offered to pay the Securities and Exchange Commission out of his own pocket in an attempt to speed up the process of obtaining government documents from a Freedom of Information Act request. [read post]
18 Sep 2009, 2:09 pm
The Securities and Exchange Commission will urge more public disclosure from hedge funds if Congress follows through with plans to make them register with the agency, the agency's chairwoman, Mary L. [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
8 Dec 2020, 1:30 pm
Over at Defining Ideas, Richard Epstein notes: This past week, Nasdaq announced that it had applied to the Securities and Exchange Commission for authorization to impose diversity requirements on the boards of directors of its listed companies. [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]
24 Sep 2007, 10:56 am
Securities and Exchange Commission Chairman Christopher Cox announced today that the combined market capitalization of companies submitting interactive data financial reports to the SEC has surpassed $2 trillion.... [read post]
10 Nov 2010, 12:53 pm
After 32 years on the job as director of regional office operations at the Securities and Exchange Commission, James Clarkson is calling it a day. [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]
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]
24 Oct 2003, 10:25 am
Cutler, the Securities and Exchange Commission [read post]
25 Mar 2020, 9:00 pm
Our colleagues have prepared a LawFlash addressing the US Securities and Exchange Commission’s March 25 extension of certain filing periods and current views regarding disclosure considerations due to the coronavirus (COVID-19) crisis. [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 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]
10 Sep 2009, 4:02 am
Congress is reopening its inquiry into the Securities and Exchange Commission's failure to detect the multibillion-dollar fraud conducted for more than a decade by Bernard L. [read post]
