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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]
23 May 2009, 1:38 am
Securities regulation was much on my mind this semester, thanks to an invitation to present on the early years of the Securities and Exchange Commission to the Tobin [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 Sep 2008, 11:27 am
Hedge funds, known for their secrecy, are likely to be none too pleased with a Securities and Exchange Commission proposal for a disclosure rule that would require hedge funds and other large investors to disclose their short positions. [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]
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]
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]
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]
6 May 2022, 2:28 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]
24 Jul 2007, 11:40 am
In a regulatory filing, Beazer said that last Friday it has received a formal order from the Securities and Exchange Commission to determine whether anyone or [...] [read post]
15 Jul 2010, 4:32 pm
Tourre, a/k/a "fabulous Fab," a vice president at the firm who was also accused of civil fraud by the Securities and Exchange Commission. [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]
26 Apr 2013, 11:32 am
As the latest 10-K filing period for corporations draws to a close, the Securities and Exchange Commission (SEC) is expected to intensify its scrutiny on whether companies’ filings adequately disclose both information security breaches that occurred in the past, and the material risks due to... [read post]
6 May 2022, 2:26 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]
6 May 2022, 2:30 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]
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]
4 Jun 2012, 1:30 pm
Aguilar of the Securities and Exchange Commission (SEC) spoke at the recent NASAA/SEC Rule 19(d) Conference in Washington D.C. [read post]
7 Dec 2018, 5:51 am
Securities and Exchange Commission. [read post]
20 Dec 2021, 11:56 am
Securities and Exchange Commission on December 17 has reportedly fined J.P. [read post]
13 Oct 2024, 9:01 pm
On September 17, 2024, the Securities and Exchange Commission (the “SEC” or the “Commission”) announced the settlement of administrative cease-and-desist orders with 11 institutional investment managers for failures to timely report securities holdings required on Form 13F, as required by Exchange Act Section 13(f) and Rule 13f-1.[1] Two of the managers were also charged with failing to file as “large traders”… [read post]
