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About 865 results for "federal security and exchange commission"

SEC adopts new rules for asset-backed securities
Advisor.ca

SEC adopts credit rating agency reform rules

The Securities and Exchange Commission (SEC) has adopted new requirements for credit rating agencies to enhance governance, protect against conflicts of interest and increase transparency. The new rules and amendments, which implement 14 ... Global Fund Wire, 1 hour ago
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Sify

SEC's civil case against SAC's Cohen may get delayed again

Manhattan US Attorney Preet Bharara has asked the Securities and Exchange Commission to hold off on its decision about former hedge-fund kingpin Steve Cohen for three more months. Bharara asked SEC chief administrative law judge Brenda Murray to ...
 New York Post22 hours ago Statement by Commissioner Daniel M. Gallagher on Asset-Backed Securities at SEC Open Meeting  Insurance News Net1 hour ago Statement by Commissioner Michael S. Piwowar on Asset-Backed Securities at SEC Open Meeting  Insurance News Net1 hour ago Michael Anthony Dupre Lucarelli  SEC1 day ago
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Ocwen Financial : RECEIVES SUBPOENA FROM THE SEC; Investor Rights Firm Johnson & Weaver, LLP Investigates Potential Violations of Federal Securities Laws from as Far Back as 2012.

In a filing with the United States Securities and Exchange Commission (SEC) earlier this week, Ocwen Financial Corporation (NYSE: OCN) disclosed that it received a subpoena from the SEC requesting documents related to a group of ...
 4 Traders4 days ago OCWEN RECEIVES SUBPOENA FROM THE SEC; Investor Rights Firm Johnson & Weaver, LLP Investigates Potential Violations of Federal Securities Laws from as Far Back as 2012.  TMC Net4 days ago
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SEC Names James Schnurr As Chief Accountant

Federal Information & News Dispatch, Inc. The Securities and Exchange Commission today announced it has named James Schnurr as its chief accountant. Mr. Schnurr will begin his new post in October. He will replace Paul A. Beswick, who joined the ...
 Insurance News Net1 day ago

SEC adopts regulation AB II

This morning the Securities and Exchange Commission in an open meeting voted to adopt long-awaited final rules (the "Final Rules") implementing a series of changes to the registration and offering process for asset-backed securities (ABS) and ...
 Lexology6 hours ago SEC votes to adopt regulation AB II, rules regarding third-party due diligence reports in connection with offerings of asset-backed securities  Lexology2 hours ago
4 Traders

The financial report August 21, 2014 - US Securities and Exchange Commission developments

Proposed Rule Principal trades with advisory clients. The SEC seeks comment on the proposed extension, to December 31, 2016, of Investment Advisers Act Rule 206(3)-3T, which creates an alternative means for investment advisers who are also ...
 Lexology4 days ago CBOE : Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change Relating to Trade...  4 Traders3 days ago TKH : Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To...  4 Traders1 hour ago Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a...  4 Traders1 week ago
Sify

Citi says SEC has closed probe of mortgage bonds

Citigroup Inc. says it's been told by the Securities and Exchange Commission that the agency has completed its investigation of the bank's conduct regarding mortgage bonds and won't bring further enforcement action. Citigroup said in a regulatory filing ...
 Sify3 weeks ago Facebook says SEC's IPO probe ends, extending WhatsApp closing date  Sify1 month ago

Regulator seeks tough penalty for tax evasion case

The Securities and Exchange Commission wants to make an example of two Texas brothers found by a jury at a civil trial to have acted fraudulently to evade taxes, but a defense lawyer said Wednesday that the more than $750 million sought by the government is ...
 Sify3 weeks ago
Rediff.com

SEC charges investor relations firm executive with insider trading

The Securities and Exchange Commission (SEC) has charged a director of market intelligence at a Manhattan-based investor relations firm with insider trading ahead of news announcements by more than a dozen clients. The charges were filed against ...
 Private Equity Wire8 hours ago 3 Indian-Americans charged in insider trading scheme  Rediff.com2 months ago Investor Relations Consultant Charged With Insider Trading  GARP1 day ago UPDATE 1-US charges investor relations firm employee with insider ...  Reuters1 day ago
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Flagstar in talks to settle alleged consumer law violations

Troy-based Flagstar Bancorp Inc. (NYSE: FBC) filed a form 8-K with the U.S. Securities and Exchange Commission on Tuesday, saying it was in discussions with the Consumer Financial Protection Bureau to settle alleged violations of various federal ...
 Crains Detroit Business22 hours ago SHAREHOLDER ALERT: Pomerantz Law Firm Investigates Claims On Behalf of Investors of Flagstar - FBC  WorldNetDaily22 hours ago Flagstar Bancorp : SHAREHOLDER ALERT: Pomerantz Law Firm Investigates Claims On Behalf of Investors of Flagstar - FBC  4 Traders22 hours ago NY investigates mortgage firm's insurance deals  Sify3 weeks ago
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