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About 804 results for "federal security and exchange commission"

U.S. launches insider-trading probe into Federal Reserve leak: WSJ

U.S. launches insider-trading probe into Federal Reserve leak:...

The headquarters of the U.S. Securities and Exchange Commission (SEC) are seen in Washington, July 6, 2009. Reuters/Jim Bourg U.S. prosecutors in New York have launched an insider-trading probe into a leak of sensitive information from the ... Reuters, 1 week ago
Business & Human Rights

USA: Securities & Exchange Commission, Amnesty Intl. ask federal court to rehear conflict minerals case

Author: Cydney Posner, Cooley LLP (USA) To no one's surprise, on Friday, the SEC and Amnesty International filed petitions for en banc rehearing in the conflict minerals case, National Association of Manufacturers, Inc. v. SEC . That case, ...
 Business & Human Rights3 days ago
Bloomberg View

SEC's New Court Powers Aren't Going Away

Should the Securities and Exchange Commission be allowed to act as prosecutor, judge and jury in pursuing civil penalties against alleged violators of the security laws? If you think the answer is yes, you can only be heartened by Tuesday's decision ...
 Bloomberg View1 week ago

SEC Charges Five With Insider Trading

The Securities and Exchange Commission today charged five Florida residents including two lawyers and an accountant with insider trading in advance of the acquisition of Pharmasset Inc. by Gilead Sciences Inc. In a complaint filed in federal ...
 Citybizlist1 week ago SEC charges Newton adviser with defrauding clients who invested $53 million  Boston Globe1 week ago SEC Charges Houston Investment Adviser with Misappropriating Client Funds  Citybizlist1 week ago

UBS to pay $33.5 million for Puerto Rico fund abuses

The U.S. Securities and Exchange Commission logo adorns an office door at the SEC headquarters in Washington, June 24, 2011. Reuters/Jonathan Ernst A unit of UBS AG on Tuesday agreed to pay almost $34 million to settle charges from two U.S.
 Reuters1 week ago SEC charges UBS Puerto Rico, 2 people in fraud scheme  News is my Business1 week ago FINRA, SEC Wallop UBS Puerto Rico With $33.5M in Penalties Over Closed-End Funds  AdvisorOne1 week ago

SEC Proposes Liquidity Risk Management Rules for Open-End Funds

With the recent market rout still fresh for most of us, the US Securities and Exchange Commission (SEC) has proposed a new rule and changes to other guidance to ensure that mutual and exchange-traded funds can withstand a run on them by panicked ...
 AccountingWEB1 week ago
Times Live South Africa

Hitachi settles US SEC charges over South Africa dealings

Hitachi Ltd agreed to pay $19 million to settle US Securities and Exchange Commission charges that it inaccurately recorded improper payments to South Africa's ruling African National Congress related to contracts to build two multibillion dollar ...
 Times Live South Africa1 week ago Hitachi's ANC bribe: The full US Securities and Exchange Commission statement week ago Hitachi allegedly made improper payments to ANC for Eskom contracts week ago Hitachi to pay $19m to settle US charges over payments to ANC  BDlive1 week ago

Daniel M. Hawke Joins Arnold & Porter as Partner

Arnold & Porter LLP announced today that Daniel M. Hawke , former Chief of the U.S. Securities and Exchange Commission (SEC) Division of Enforcement's Market Abuse Unit and Director of the SEC Philadelphia Regional Office, has joined the firm as ...
 Citybizlist2 days ago

SEC Charges Bristol-Myers Squibb With FCPA Violations

The Securities and Exchange Commission today announced that New York-based pharmaceutical company Bristol-Myers Squibb has agreed to settle charges that its joint venture in China made cash payments and provided other benefits to health care ...
 Citybizlist4 days ago
Sophos Anti Virus

Cryptocurrency startup Gemcoin busted for alleged $32m Ponzi scheme

The US Securities and Exchange Commission (SEC) announced on Thursday that it's broken up an alleged $32 million Ponzi scheme that promised to mine amber and pay out profits in so-called "Gemcoin" cryptocurrency. The SEC's complaint alleges that ...
 Sophos Anti Virus4 days ago
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