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About 1005 results for "securities exchange commission"

McGraw Hill Financial Gets Wells Notice from SEC Regarding S&P...

McGraw Hill Financial filed a Form 8-K with the U.S. Securities and Exchange Commission, acknowledging that on July 22, it received a "Wells Notice" from the Commission Staff stating that the Staff has made a preliminary determination to recommend ..., 20 hours ago

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Money Control

In The News Today - July 29, 2014

Smith & Wesson Holding Corp. agreed to pay $2 million to resolve a Securities and Exchange Commission investigation into allegations of violations of the Foreign Corrupt Practices Act. The SEC alleged incidents in Pakistan, Indonesia, Turkey, Nepal ...
 Noodls6 hours ago NYSE to pay $4.5 mln to settle SEC charges  Money Control2 months ago NYSE to pay $4.5 million to settle SEC charges  The Financial Chronicle2 months ago Bribery Probe Costs Smith & Wesson $2 Million  Business West6 hours ago

The financial report July 24, 2014 - US Securities and Exchange Commission developments

Selected Enforcement Actions The sting. The SEC, Massachusetts US Attorney and the FBI announced charges against five individuals whose attempt to manipulate shares of Amogear Inc. was caught by an FBI undercover operation. According to the civil ...
 Lexology1 day ago

Facebook says SEC's IPO probe ends, extending WhatsApp closing date

REUTERS - Facebook Inc said the U.S. Securities and Exchange Commission dropped its probe into the social networking company over events surrounding its controversial initial public offering.
 Business Standard4 days ago

US securities and exchange commission poised to adopt reforms for money market funds

US regulators are expected to adopt rules that force "prime" money market funds used by large institutions to float their share price. WASHINGTON: US regulators are expected to adopt rules on Wednesday that force "prime" money market funds used by large ...
 Economic Times6 days ago

Rengan Rajaratnam, SEC in talks to resolve civil claims: filing

NEW YORK (Reuters) - The U.S. Securities and Exchange Commission and Rengan Rajaratnam, the younger brother of convicted Galleon Group founder Raj Rajaratnam, on Thursday asked a judge to stay the regulator's civil lawsuit for 60 days while they try ...
 Business Standard1 week ago Rengan Rajaratnam cleared, US insider trading streak snapped  The Financial Chronicle2 weeks ago

US Securities and Exchange Commission adopts final rules regarding cross-border security-based swap activities of dealers and major participants

The US Securities and Exchange Commission (SEC) has adopted final rules (the CrossBorder Rules) regarding the cross-border application of certain security-based swap (SBS) provisions of Title VII of the DoddFrank Wall Street Reform and Consumer ...
 Lexology1 week ago

FMC merger with Sebi put off

The merger of the Forward Markets Commission and the Securities and Exchange Board of India is understood to have been postponed, at least for the near future. FMC has been asked to go ahead with the appointment of 20 experts, which the commission had sought earlier. It is felt these appointments will strengthen it’s regulatory functions. To improve coordination between the two entities, a move to shift the FMC’s office to the Bandra Kurla Complex, close to the Sebi office, is ...
 Rediff.com1 week ago

Asset-Backed Securities Services Sought by Securities and Exchange Commission

By Targeted News Service WASHINGTON , July 16 -- The Securities and Exchange Commission's Office of Acquisitions has issued a combined synopsis/solicitation notice (SECHQ1-14-Q-0144) for asset-backed securities (ABS) data. It was posted on July 10 ...
 HispanicBusiness.com1 week ago US Federal Business Opportunity: Securities and Exchange Commission: Ethics Financial Data Feed  ITbriefing1 week ago Exclusive - U.S. SEC official dissented on BNP Paribas waiver  Sify3 weeks ago US SEC official dissented on BNP Paribas waiver  Business Standard3 weeks ago

US Securities and Exchange Commission, in about-face, ends probe of ex-Goldman banker

"I'm grateful that the SEC took the time to consider all the facts and drop the investigation," Matthew Korenberg, the former Goldman banker, said. NEW YORK: The US Securities and Exchange Commission has dropped an insider trading investigation targeting a ...
 Economic Times3 weeks ago
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