3 hrs ago | JD Supra
On May 23, 2013, the Securities and Exchange Commission published in the Federal Register proposed rules and guidance for applying Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act to cross-border security-based swap activities and non-U.S. persons .
7 hrs ago | MarketWatch
SAC Capital, the hedge fund founded by billionaire Steven A. Cohen, is losing financial support from buyout shop Blackstone Group Inc., the largest outside investor in the embattled $15 billion megafund, according to a report Saturday.
11 hrs ago | MTV
Perhaps no other sitcom in television history has attracted as devout a following as "Arrested Development." The show followed the exploits of the chronically dysfunctional and morally iffy Bluth family... while trying to find an audience.
15 hrs ago | JD Supra
The Foreign Corrupt Practices Act covers a nearly boundless range of business conduct by issuers and their agents in an ever more global world.
Newscast Media DALLAS-The Securities and Exchange Commission today announced fraud charges and an asset freeze against a trader at a Dallas-based investment advisory firm who improperly profited by placing his own trades before executing large block trades for firm clients that had strong potential to increase the stock's price.
The Securities and Exchange Commission is more active than ever, filing 734 actions in 2012 and seeking an 18.5 percent increase in its 2013 budget.
Carl Clark, who was fired from his job at Georgeson Inc. after exposing a scheme to sell confidential corporate voting data, stands to receive little or no reward for helping regulators crack the case.
Did activist investor Dan Loeb circumvent the Securities and Exchange Commission last week to make an even bigger splash in The New York Times ? It might appear that way considering news of his 6.5% stake in Sony -- not to mention his hand-delivered letter to same calling for a separate public listing of Sony Entertainment -- first appeared in the ... (more)
The Securities and Exchange Commission on Friday charged a Dallas-based broker who allegedly improperly profited by placing his own secret trades ahead of large block trades he executed for clients.
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U.S. regulators will get access to Chinese companies' audit documents under a deal announced on Friday, opening the way to probes of bungled audits after a two-year stand-off between China and the United States.
A woman waits for an elevator in the foyer of the Fort Worth Regional Office of the Securities and Exchange Commission in Fort Worth, Texas June 28, 2012.
The Securities Arbitration Law Firm of Klayman & Toskes, P.A. announced today that it is investigating potential claims against Ameriprise Financial and LPL Financial surrounding allegations of misconduct by former Ameriprise Advisor Services and LPL advisor, Blake B. Richards .
The share drops were the latest such incidents for the market since the May 6, 2010, "flash crash," a computer-driven trading glitch that caused a sudden afternoon tumble in the major U.S. indexes.
A sensible, bipartisan solution to the conflicts of interest that too often arise between credit ratings agencies and the firms that hire them to judge their products should be adopted by the Securities and Exchange Commission.
Without admitting or denying wrongdoing, Neil Morrison, 38, accepted what the SEC said was the first industry ban for violating "pay-to-play" rules governing the $3.7 trillion municipal bond market.
Institutional Shareholder Services settled civil charges by U.S. regulators that an employee of the prominent proxy advisory firm shared nonpublic voting data in exchange for meals and concert tickets.