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About 931 results for "securities exchange commission"

Head of municipal securities office at U.S. SEC to leave agency

Oct 21 (Reuters) - The director of the office of municipal securities at the Securities and Exchange Commission, John Cross, will leave his post in November to return to the U.S. Treasury Office of Tax Policy, the agency said on Tuesday. Cross ... Reuters, 2 hours ago
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Financial Gazette, 5 days ago
Lawyer Herald, 4 days ago
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Reuters, 3 days ago
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Ecns.cn, 1 week ago
Reuters, 6 days ago
NigeriaCommunicationsWeek, 2 weeks ago
New Age Bangladesh, 1 week ago

Office of Municipal Securities Director John Cross to Leave SEC

) - The Securities and Exchange Commission today announced that John J. Cross III, Director of the Office of Municipal Securities, will leave the agency in November. Since September 2012, Mr. Cross has served as the first Director of the Office ...
 4 Traders2 hours ago Municipal Securities Director John Cross to Leave SEC Next Month  BusinessWeek1 hour ago

SEC Defends Practice of Steering Cases to Judges It Appoints

The Securities and Exchange Commission is increasingly steering tougher cases to hearings in front of the agency's appointed administrative judges rather than taking them to federal court, according to a front-page report in Tuesday's Wall Street ...
 Austin American Statesman4 hours ago SEC Is Steering More Trials to Judges It Appoints WSJ  Securities Docket5 hours ago The Wall Street Journal: SEC steering more trials to judges it appoints  Austin American Statesman18 hours ago

BRIEF-Toronto man accused by SEC of insider trading in Herbalife sues to stop administrative proceeding

Oct 20 (Reuters) - Herbalife Ltd : * Toronto man who was accused of insider trading by U.S. Securities and Exchange Commission related to Herbalife Ltd files lawsuit to halt SEC administrative proceedings -- court filing * Jordan peixoto ...
 Reuters23 hours ago
Securities Technology Monitor

Former U.S. Securities and Exchange Commission General Counsel, International Affairs Chief Counsel and Commodity Futures Trading Commission Enforcement Chief Joins Sidley Austin LLP

Sidley Austin LLP announced today that Geoffrey F. Aronow, former U.S. Securities and Exchange Commission (SEC) general counsel and International Affairs chief counsel, who previously served as director of the Division of ...
 Wall Street Business Network4 hours ago Securities and Exchange Commission of Zim reviews applications  Financial Gazette5 days ago
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Connecture files for IPO

Brookfield-based Connecture Inc. has filed with the Securities and Exchange Commission for a proposed initial public offering of its common stock. The company, which develops web-based information systems used to create health insurance ...
 BizTimes Milwaukee3 hours ago CQG to Offer New Full Service Connectivity to Eris Exchange  4 Traders6 hours ago Workiva announces initial public offering  Des Moines Business Record1 day ago
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Bank of America settles Securities and Exchange Commission charges over capital disclosure errors

Regulatory capital overestimates started in 2009, & has grown each year since then as more of notes matured, said Securities & Exchange Commission. WASHINGTON: Bank of America agreed to pay $7.65 million on Monday to settle civil charges alleging it ...
 Economic Times3 weeks ago BoA settles SEC charges over capital disclosure errors  Economic Times3 weeks ago

BSE gets Sebi, CCI go-ahead for USE takeover

Markets regulator Securities and Exchange Board and the fair trade watchdog Competition Commission (CCI) have approved the merger of United Stock Exchange of India with the BSE, making it the first merger of two exchanges in the country, the premier ...
 Business Standard1 month ago BSE-USE merger gets regulatorynod  Business Standard1 month ago

US SEC preparing new rules to boost oversight of funds: Reports

The US Securities and Exchange Commission (SEC) is preparing new rules to boost oversight of mutual funds and hedge funds. The US Securities and Exchange Commission (SEC) is preparing new rules to boost oversight of mutual funds and hedge funds as part of an ...
 Economic Times1 month ago SEC examining 'alternative' mutual funds  Sify2 months ago Alternative funds are drawing dollars, questions  Sify2 months ago
MSN India

The U.S. Securities and Exchange Commission Approves Amendments to Rules Governing Money Market Funds: Implications for Boards

The U.S. Securities and Exchange Commission (SEC) has approved sweeping amendments to Rule 2a-7 under the Investment Company Act of 1940 and other rules governing the operations of money market funds (money funds) (Amendments).1The Amendments ...
 JD Supra5 days ago Alibaba targets share sale in early September  MSN India1 month ago
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