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15 Dec 2021, 8:40 am
The Securities and Exchange Commission today proposed amendments to its rules regarding disclosure about an issuer’s repurchases of its equity securities, often referred to as buybacks. [read post]
24 Mar 2010, 8:55 pm
Charles Schwab Corp. doesn’t want the Securities and Exchange Commission to file securities claims over the YieldPlus mutual fund. [read post]
6 May 2014, 8:08 am
The Regulation on credit rating agencies requires them to be registered and supervised by the European Securities and Markets Authority (ESMA). [read post]
14 Aug 2009, 12:26 pm
The Ontario Securities Commission has approved amendments to TSX Rule 4-403 of the Toronto Stock Exchange Rule Book and Policies. [read post]
14 May 2014, 7:57 am
Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social media channels. [read post]
27 Mar 2019, 6:39 am
On February 19, 2019, the Securities and Exchange Commission (SEC) approved a proposed rule that, if enacted, would permit all issuers to use “test-the-waters” communications (TTW communications). [read post]
27 Jul 2010, 9:39 am
The Discovery Guide directs parties to exchange certain documents, and provides FINRA arbitrators with guidance in resolving discovery disputes in arbitration. [read post]
7 Apr 2011, 6:00 am
Securities and Exchange Commission (SEC) approved a revised Discovery Guide applicable to FINRA securities arbitration customer cases on Friday. [read post]
17 Sep 2009, 10:18 am
Securities and Exchange Commission (SEC) announced the creation of its new Division of Risk, Strategy, and Financial Innovation, which combines the Office of Economic Analysis, the Office of Risk Assessment and certain other functions. [read post]
6 Nov 2009, 8:43 am
As described in our earlier post, on October 9, the Ontario Securities Commission (OSC) introduced a new process for reviewing changes to certain operations of exchanges and ATSs. [read post]
13 Mar 2014, 4:00 am
The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security safeguards provisions of Title V of the Gramm-Leach-Bliley Act (GLBA). [read post]
10 Nov 2010, 11:14 am
The co-chairmen of President Barack Obama’s debt-reduction commission will propose cuts to Social Security and Medicare, as well as reductions in income tax rates in exchange for curbing tax breaks, according to a Republican aide who attended the meeting. ... [read post]
15 May 2007, 5:15 am
For more on this topic, go to Corporate Governance, the Securities and Exchange Commission, and the Limits of DisclosureWith listing standards foreclosed and corporate governance standards in decline under state law, the Commission began to use disclosure in an effort to influence behavior. [read post]
23 Sep 2009, 7:01 am
Regions Bank has agreed to pay a $1 million penalty to settle a Securities and Exchange Commission complaint that it played a role in a long-term investment fraud that charged huge hidden fees and sales commissions to thousands of unwitting Latin American investors. [read post]
25 Aug 2011, 2:23 pm
" Sources: SEC's new Whistleblower Program Takes Effect Today, Securities and Exchange Commission, August 12, 2011 [read post]
23 May 2019, 6:17 am
Securities and Exchange Commission. [read post]
15 Aug 2012, 9:57 pm
Penneco Drilling Associates is, according to its Form D filing with the Securities and Exchange Commission, an oil and gas development company. [read post]
16 Sep 2011, 8:18 am
The SEC is seeking the remedies of civil money penalties pursuant to Section 20(d) of the Securities Act and 21(d)(3) of Exchange Act, as well as disgorgement of any ill-gotten gains. [read post]
11 Apr 2022, 3:31 am
Euro-denominated securities : the Commission confirmed that the prohibition concerning investment in euro-denominated securities does not apply to entities established in the EU that are owned by Russian citizens but registered in country other than Russia. [read post]
18 Feb 2014, 10:57 am
Though investors might have assumed that the entire Securities and Exchange Commission was their advocate to begin with, on February 12th the agency announced that it had hired Rick Fleming to be its very first Investor Advocate in the recently created Office of the Investor Advocate (“OIA”). [read post]
