Search for: "Securities and Exchange Commission"
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11 Jan 2011, 8:56 am
It sounded like Sutton Resources was in big trouble with the Securities and Exchange Commission. [read post]
22 Jan 2015, 4:27 pm
Securities and Exchange Commission on Monday resolved its... [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]
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]
4 Apr 2010, 12:01 pm
The Securities and Exchange Commission obtained more than $14.2 million for Stanford Financial Group investors in a Panamanian asset sale, the agency said Friday, according to Bloomberg News. [read post]
27 May 2025, 6:00 am
In December of last year we posted on Hunton’s Retail Law Resource Blog about the changing of the guard at the Securities and Exchange Commission (“SEC”) with the new administration.Continue Reading › [read post]
10 Apr 2024, 3:10 pm
Securities and Exchange Commission (“SEC”) adopted two new rules with a 3-2 vote along party lines. [read post]
21 Sep 2010, 8:18 am
On September 10, the Securities and Exchange Commission (SEC) approved new rules to expand its circuit breaker pilot program, which currently applies to stocks listed in the S&P 500 Index, to all stocks in the Russell 1000 Index and certain exchange-traded funds. [read post]
4 Sep 2018, 4:29 am
On 3 September 2018, the European Commission (Commission) published a communication (dated 10 August 2018) on its intention to endorse, with amendments, the draft amendment to the regulatory technical standard submitted by the European Securities and Markets Authority (ESMA) on transparency requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates (the draft RTS amendment). [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 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]
20 Jul 2010, 8:07 am
Viniar, the chief financial officer of Goldman Sachs, said the firm had not experienced a major loss of business as a result of the securities fraud case that it settled with Securities and Exchange Commission, saying that Goldman's clients were "pretty supportive. [read post]
23 Jun 2018, 1:44 am
Securities & Exchange Commission to decide the scope of primary liability/scheme liability under the federal securities laws. [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]
28 Oct 2011, 4:33 pm
David Tamman, a partner in Nixon Peabody's Los Angeles office from 2007 until 2009, claims the firm abandoned him after he was implicated in a Securities and Exchange Commission investigation into an alleged securities fraud committed by a former client. [read post]
20 May 2009, 3:11 pm
., the former chief executive of Lehman Brothers, submitted his resignation as chairman on May 14, almost eight months to the day since the securities firm filed for bankruptcy, according to a filing with the Securities and Exchange Commission on Wednesday. [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]
9 Sep 2010, 12:14 am
The British securities regulator said Thursday that it had fined Goldman Sachs £17.5 million, or nearly $27 million, for failing to disclose the Securities and Exchange Commission's investigation into the synthetic collateralized debt obligation known as Abacus. [read post]
18 Dec 2008, 8:04 am
[JURIST] US President-elect Barack Obama [transition website] on Thursday named [press release] Mary Schapiro [professional profile] as the Chairman of the Securities and Exchange Commission (SEC) [official website]. [read post]
15 Oct 2021, 8:30 am
The Securities and Exchange Commission today announced awards of approximately $40 million to two whistleblowers whose information and assistance contributed to the success of an SEC enforcement action. [read post]
