Search for: "Securities and Exchange Commission"
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18 Apr 2008, 6:20 pm
Here's the report from the AP: According to a filing with the Securities and Exchange Commission, Talbots said HSBC will... [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]
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]
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]
27 May 2010, 8:52 am
The once-prominent hedge fund, Pequot Capital Management, and its chief executive agreed to settle a Securities and Exchange Commission complaint accusing them of insider trading involving Microsoft shares. [read post]
25 Nov 2011, 7:10 am
Katharine Gresham, a former assistant general counsel the Securities and Exchange Commission, takes a look at one of Bernard L. [read post]
5 Sep 2012, 9:00 am
The Securities and Exchange Commission has proposed rules to lift advertising restrictions for hedge funds, but the way this looks on paper and the way it will play out in the real world are a tad different. [read post]
29 Mar 2010, 9:55 pm
Securities and Exchange Commission. [read post]
24 Mar 2011, 12:40 pm
Here is the abstract: The role of the Securities and Exchange Commission in the corporate governance process has shifted... [read post]
3 Aug 2011, 2:36 am
Department of Justice, the Securities and Exchange Commission, and other regulatory... [read post]
23 Sep 2008, 12:09 am
Given the little dust-up over the Senator McCain's comment that he would remove Christopher Cox as Chair of the Securities and Exchange Commission, and questions as to whether the President has... [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]
26 Sep 2008, 7:35 pm
Enforcement attorneys at the Securities and Exchange Commission are known for being straight up, but lawyer Scott D. [read post]
1 Dec 2010, 5:51 am
Going Easy: The Securities and Exchange Commission showed leniency toward Bank of America in penalizing the firm for securities law violations last year because the financially weakened bank was on taxpayer-backed life support, the Washington Post reports. [read post]
8 Mar 2010, 10:13 am
Henning of White Collar Watch examines the Securities and Exchange Commission's lawsuit against the self-proclaimed "America's Prophet," who is accused of securities fraud for saying he can predict how markets can perform. [read post]
8 Jul 2008, 6:17 pm
Credit rating agencies did not properly manage their conflicts of interests when assigning ratings to structured products such as mortgage-backed securities, a report by the Securities and Exchange Commission said on Tuesday. [read post]
20 Jan 2011, 9:01 am
The Securities and Exchange Commission continues its crackdown on companies for misleading investors, charging three affiliated New York-based investment firms and four former senior officers with fraud, misuse of client assets and other securities violations involving their $66 million advisory... [read post]
6 May 2022, 2:32 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
20 Feb 2008, 4:46 am
KKR Financial said in a filing with the Securities and Exchange Commission on Tuesday that a debt repayment due on [...] [read post]
16 Apr 2010, 11:40 am
The Securities and Exchange Commission is looking closely at other mortgage security deals made in cooperation with investors betting against the housing market in the wake of its civil lawsuit against Goldman Sachs, the agency's enforcement head said on Friday. [read post]
