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About 816 results for "federal security and exchange commission"

SEC plan targets cybersecurity for firms

TelexFree, Inc. et al.

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22974 / April 17, 2014 Securities and Exchange Commission v. , Civil Action No. 1:14-cv-11858-DJC (United States District Court for the District of Massachusetts) SEC Halts Pyramid ... SEC, 3 days ago
Keith A. Seilhan SEC, 3 days ago

726 images for federal security and exchange commission

Hartford Courant, 1 day ago
Chicago Tribune, 1 day ago
WKZO-AM, 1 day ago
MSN Money Canada, 1 day ago
CNBC, 1 week ago
Yahoo! News, 1 day ago
Reuters, 1 day ago
Lawyer Herald, 3 days ago
Tampa Bay Times, 1 day ago
4 Traders, 1 day ago

"SEC Proposes Security-Based Swap Recordkeeping, Reporting and Notification Requirements and Capital Rules for SEC Registrants"

On April 17, 2014, the Securities and Exchange Commission (SEC) proposed new regulations that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The ...
 JD Supra2 days ago Federal watchdog says SEC security issues put financial data at risk  SC Magazine US2 days ago

Rajat Gupat should pay $13.9 mn penalty, be banned for life: US regulator

United States regulator Securities and Exchange Commission has asked an appeals court to affirm a district court's decision that India-born former Goldman Sachs director Rajat Gupta pay a $13.9 million penalty and be banned for life from serving as director of a public corporation. The federal regulator has filed a brief in the US court of appeals for the second circuit, saying the district court acted well within its discretion by permanently barring Gupta from associating with brokers, ...
 Rediff.com4 weeks ago Update on CoreValve Federal District Court Ruling; Court Agrees to Expedited Appeal  EuroInvestor5 minutes ago

Former BP employee charged with insider trading during Deepwater Horizon spill

NEW YORK, April 17 (UPI) -- The Securities and Exchange Commission charged a former BP employee with insider trading, for offloading his stock portfolio using confidential information relating to the Deepwater Horizon spill. Keith A. Seilhan, who ...
 UPI3 days ago Former-BP exec sold $1M in stock at height of spill disaster  New York Post1 day ago BP Manager In Charge of Cleaning Up the Gulf Oil Spill Dumped BP Stock Before the Severity of Spill Was Discovered  Zero Hedge2 days ago SEC Charges Former BP Employee With Insider Trading During The Deepwater Horizon Oil Spill  Mondo Visione3 days ago

SECP undertakes strict monitoring & vigilance of corporate sector

- Karachi—The Chairman Securities and Exchange Commission of Pakistan (SECP) Tahir Mahmood has said that the SECP has been remaking its Standard Operating Procedures (SOPS) and procedures to ease the regulatory compliance. He was addressing a ...
 Pakistan Observer1 day ago
Boston Globe

SEC Charges TelexFree With Fraud, Alleges $1.1 Billion Pyramid Scheme

The Securities and Exchange Commission has announced it filed charges on April 15, 2014, against TelexFREE, Inc. and TelexFREE, LLC (TelexFREE), accusing the companies of orchestrating a massive pyramid scheme that targeted Dominican and Brazilian ...
 Forbes.com3 days ago SEC freezes assets of TelexFree and associates in wake of alleged billion-dollar fraud  Boston Globe3 days ago SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank  Funds Society4 days ago
JD Supra

Out Of Control: SEC Says Lack Of Internal Controls Led To HP Paying More Than $108 Million To Settle FCPA Actions

On April 9, 2014, the Securities and Exchange Commission announced that Hewlett-Packard had agreed to pay more than $108 million to settle Foreign Corrupt Practices Act actions brought by the SEC and the Department of Justice. These actions were ...
 JD Supra4 days ago HP pays $108 million to settle foreign bribery probes  Economic Times1 week ago HP to pay $108 million in US to settle bribery probes  i24news3 days ago

SEC Bars ShopClues Founder Sandeep Aggarwal From Trading In US

ShopClues Founder and former CEO Sandeep Aggarwal has been barred from trading by Securities Exchange Commission (SEC). He had pleaded guilty to insider trading charges in November 2013 in a federal court fortipping Richard Lee, a former SAC Capital portfolio ...
 Medianama2 months ago

SEC CIO: Vendor Mgt. Must Improve

GAO Audit Identifies Breakdown in Process at the Commission Thomas Bayer Securities and Exchange Commission CIO Thomas Bayer fesses up that the SEC could have done a better job keeping track of information security-related work performed by ...
 Data Breach Today2 days ago SEC CIO: Vendor Management Must Improve  Government Info Security2 days ago
Associations Now

Ahead of the Feds: National Retail Federation Works to Build Security Exchange

With the federal government considering building an information-sharing platform for retailers, the National Retail Federation took some steps of its own in that direction this week. It's an idea whose time has come, apparently. With the ...
 Associations Now4 days ago National Retail Federation Announces Information-Sharing Platform  Convenience Store Decisions5 days ago
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