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19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
25 Jul 2016, 7:13 am
Other news is a personnel change at the Securities and Exchange Commission because of cycling. [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
13 Jun 2010, 10:16 am
Medifast's Revenue Recognition Policy Medifast’s (NYSE: MED) revenue recognition policy is disclosed as follows in its various filings with the Securities and Exchange Commission (See 2009 10-K report pages 20 and 65): Revenue Recognition. [read post]
5 Jul 2016, 12:46 am
US firm adds Securities Exchange Commission chief to help its global clients, particularly in Europe, on accessing US capital markets [read post]
9 Dec 2010, 1:43 pm
The Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) on December 8, 2010, jointly proposed rules to define “swap dealer,” “security-based swap dealer,” “major swap participant,” “major security-based swap participant,” and “eligible contract participant” as these terms are used in amendments to the Commodity Exchange Act (CEA) and… [read post]
19 Oct 2007, 5:15 am
Regional stock exchanges are organized national securities exchanges that are registered with the Securities Exchange Commission (SEC), and are located outside of the main financial center in New York City. [read post]
20 Jun 2010, 6:32 pm
To Securities and Exchange Commission Chief Accountant Wayne Carnall: In my first Open Letter, I asked the Securities and Exchange Commission Division of Corporation Finance to review Medifast's (NYSE: MED) revenue recognition policy to determine if it complies with Generally Accepted Accounting Principles (GAAP) and SEC Staff Accounting Bulletin Topic 13. [read post]
20 Oct 2011, 6:57 am
Exchange-traded funds (ETFs) are the latest investment product to find themselves in the hot seat with the Securities and Exchange Commission (SEC). [read post]
24 May 2023, 4:00 pm
Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the financial services industry. [read post]
