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About 984 results for "securities exchange commission"

ITG in Talks to Settle SEC Probe of Alternet Securities

Investment Technology Group Inc. has discussed with the Securities and Exchange Commission settling a probe of a trading pilot at its AlterNet Securities Inc. unit in 2010 and 2011. Brokerage and technology firm ITG said the investigation ... 4 Traders, 15 hours ago
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TheStreet.com

Mead Johnson Announces Settlement with U.S. Securities and Exchange Commission

GLENVIEW, Ill.--(BUSINESS WIRE)-- Mead Johnson Nutrition Company (NYSE: MJN) announced today that it has entered into a settlement agreement with the U.S. Securities and Exchange Commission (SEC) fully resolving the SEC's investigation of certain of ...
 CNBC2 days ago Market Update (NYSE:MJN): Mead Johnson Announces Settlement with U.S. Securities and Exchange Commission  Jutia Group2 days ago Mead Johnson Nutrition : Announces Settlement with U.S. Securities and Exchange Commission  4 Traders2 days ago
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US Securities and Exchange Commission proposes compensation clawback listing standards requirement

The new ACC Newsstand is one of the best e-resources that I have encountered in 21 years of practicing Employment Law. The information is timely, helpful and easy to navigate. Thank you for offering it and please continue it indefinitely!! ...
 Lexology1 week ago

US Securities and Exchange Commission grants conditional no-action relief from credit risk retention for legacy CLO refinancings

In response to a request by Crescent Capital Group, the US Securities and Exchange Commission has issued conditional no action relief from otherwise applicable credit risk retention requirements under the related Credit Risk Retention final rule ...
 Lexology1 week ago

Wipro near day’s high as it reaches settlement with the US SEC

Shares of Wipro gained momentum and were near day’s high on reaching a settlement with the US Securities and Exchange Commission.
 Economic Times1 month ago Wipro settles with SEC on accounting issue  Times of India1 month ago Wipro stock advances; settles with SEC on accounting issue  India Infoline1 month ago

US SEC chair says 'closely monitoring' situation at NYSE

US Securities and Exchange Commission Chair Mary Jo White said on Wednesday the agency was in contact with the New York Stock Exchange and "closely monitoring the situation."
 Economic Times3 weeks ago

Sebi asks MFs to pare down commissions

Sounding a warning bell to the mutual fund industry, Securities and Exchange Board of India (Sebi) chairman U K Sinha said that the mutual fund industry should look at revising the commission paid to distributors to avoid controversies. "The commission paid ...
 Deccan Herald4 weeks ago Sebi pulls up MFs on upfront fees  The Financial Chronicle4 weeks ago

Logitech sets aside $3.25 million to cover possible US Securities and Exchange Commission penalty

In April, Logitech said it planned to reorganise its Lifesize office video-conferencing business around a cloud-based service it unveiled nine months ago. FRANKFURT: Swiss-American gadget maker Logitech has set aside $3.25 million to cover a potential civil ...
 Economic Times1 month ago

Computer Sciences to pay $190 million to settle accounting fraud case

Securities and Exchange Commission also charged eight former executives in connection with the scheme, five of whom also agreed to settle. WASHINGTON: Computer Sciences Corp agreed to pay $190 million to settle civil accounting fraud charges alleging the ...
 Economic Times1 month ago

JPMorgan gets SEC subpoenas over mutual fund sales

JPMorgan Chase & Co said it has received subpoenas from the U.S. Securities and Exchange Commission over how it sells its mutual funds.
 Times of India2 months ago
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