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About 894 results for "us securities and exchange commission"

Taberna Capital Management to Settle with the U.S. Securities and Exchange Commission
SPi World News

Bank of America paying $7.65M to U.S.

NEW YORK — The Securities and Exchange Commission says Bank of America will pay $7.65 million to settle allegations that it overstated how much capital it had on its books. Bank of America Corp. said in April that it had made an error in how it ... USA Today, 2 days ago
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820 images for us securities and exchange commission

Reuters UK, 3 weeks ago
CFO.com, 3 weeks ago
Reuters, 3 weeks ago
Reuters, 1 month ago
Business Insider, 3 weeks ago
Public News Service, 4 weeks ago
JD Supra, 2 weeks ago
JD Supra, 14 hours ago
SPi World News, 1 week ago
Pique News Magazine, 1 month ago

ISE plans launch of its third options exchange

International Securities Exchange has filed forms with the Securities and Exchange Commission to launch its third options exchange, to be called ISE Mercury. The expansion comes just one year after ISE launched its second options exchange, ISE ...
 FierceFinanceIT1 day ago ISE files application for third U.S. options exchange  Yahoo! Finance2 days ago

SEC Charges Bank of America With Securities Laws Violations in Connection With Regulatory Capital Overstatements

Washington D.C.--(Newsfile Corp. - September 29, 2014) - The Securities and Exchange Commission today charged Bank of America Corporation with violating internal controls and recordkeeping provisions of the federal securities laws after it assumed ...
 Newsfile2 days ago SEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors  SEC5 days ago Bank of America : SEC Charges Bank of America With Securities Laws Violations in Connection With Regulatory Capital Overstatements  4 Traders2 days ago
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U.S. Securities and Exchange Commission vergibt Auftrag an SmartStream zur Bereitstellung der Lösung TLM Reconciliations Premium für das Office of Compliance Inspections and Examinations

NEW YORK--( BUSINESS WIRE )--SmartStream Technologies, der Finanzspezialist für Transaction Lifecycle Management (TLM ® ), gab heute bekannt, dass die US-amerikanische Wertpapieraufsichtsbehörde U.S. Securities and Exchange ...
 Business Wire1 week ago
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Sify

Securities and Exchange Commission imposes record $16 million penalty on Latour high frequency firm

The high frequency trading firm agreed to pay a record $16 million penalty to settle a US case accusing it of violating a rule that requires broker-dealers to maintain minimum levels of net liquid assets or net capital. The SEC on Wednesday said ...
 Economic Times2 weeks ago NSE index retreats from record high on profit-taking  Sify1 month ago Nifty retreats from record high on profit taking  Sify1 month ago India's NSE index retreats from record high on profit-taking  Sify1 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 Times3 weeks ago
MSN India

Alibaba targets share sale in early September

Company is still waiting for approval from US Securities and Exchange Commission (SEC) to kick-off listing Reuters Hong Kong: Chinese e-commerce firm Alibaba Group Holding Ltd is planning to launch its New York stock market debut in the week of Sept. 8, a ...
 MSN India1 month ago
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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 ...
 Sify2 months ago Facebook says SEC's IPO probe ends, extending WhatsApp closing date  Business Standard2 months ago
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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 ...
 Sify1 month ago
Sify

SEC launched extensive probe to identify sources in Reuters stories

By Paritosh Bansal and Jason Lange NEW YORK/WASHINGTON (Reuters) - A U.S. Securities and Exchange Commission watchdog conducted an extensive, months-long investigation to find out who had leaked information that appeared in two Reuters stories published last ...
 Sify2 months ago
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