Securities and Exchange Commission News
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13 min ago | Wall Street Journal
Scardino's appointment is effective immediately, according to a filing with the Securities and Exchange Commission on Thursday.
Can You Crack These Presidential Code Names?
Could you have a romantic liaison with someone of opposite political beliefs to you?
4 hrs ago | The Modesto Bee
The struggling retailer disclosed in a regulatory filing late Thursday that it received a letter from the Securities and Exchange Commission in October requesting information on its liquidity, cash position, debt and equity financing, as well as its offering of common stock announced in September.
8 hrs ago | Reuters
A trade association for the securities industry said on Thursday it is time to revamp how the hardware behind the trading halt in Nasdaq stocks in August is governed, a move that would likely reduce their control by the two leading U.S. stock exchange operators.
8 hrs ago | Common Dreams
Privacy advocates are calling for reform of the Electronic Communications Privacy Act , a 27-year-old law that allows government agencies like the FBI and local law enforcement warrantless access to Americans' electronic communications.
9 hrs ago | Business Journal
The U.S. Securities and Exchange Commission has filed an emergency order accusing a Milton money manager and the asset management firms he ran of violating U.S. securities law and ordering them to pay $839,000 back to the investors he bilked, including his own church.
13 hrs ago | The Daily Beast
The SEC avoided taking a stand on corporations having to disclose their political contributions.
17 hrs ago | Ghanamma.com
The Securities and Exchange Commission, SEC, weekend revealed that it has clampdown on three illegal companies operating in the country and warned fraudsters to desist from such illegal practices or face the wrath of law.
The House approved a bill on Wednesday that would exempt many investment advisers to private equity funds from oversight by the Securities and Exchange Commission .
A former hedge-fund analyst who argued that Dendreon Corp's therapeutic vaccine for prostate cancer may hasten the death of patients has reached a settlement with U.S. securities regulators over failure to disclose her financial interests in the company.
Fifth Third Bancorp, a Midwest U.S. regional bank, has agreed to pay $6.5 million to settle U.S. Securities and Exchange Commission charges that it accounted improperly for commercial real estate loans during the 2008 financial crisis, reducing its reported loss.
Last month, the Securities and Exchange Commission published its long-awaited proposed rules for the most radical part of the JOBS Act of 2012.
That question is due for airing at a event in Washington on Thursday focused on the role of proxy advisers like Institutional Shareholder Services and Glass, Lewis & Co.
According to filings with the Securities and Exchange Commission it is that time of year again - the time when the Oregon Angel Fund begins raising money for its next year's worth of investments.
A registration statement related to these debt securities has been filed with the SEC; however, it is not yet effective.
Two years after being charged with participating in a massive bribery scheme, the former chief financial officer in Argentina for the German engineering giant Siemens AG has reached settlement terms with the U.S. Securities and Exchange Commission, according to court papers.
Corporate boards and management should engage with shareholders to help improve governance, the top U.S. securities regulator said Tuesday, laying out what she sees as some positive outcomes from increased investor activism.
A Miami-based trader was charged by the Securities and Exchange Commission on Tuesday for insider trading in the stock of a Chinese company.