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About 908 results for "us securities and exchange commission"

SEC wins $130,698 (U.S.) penalty against ex-judge

See Street Wire (C-*SEC) U S Securities and Exchange Commission This item is part of Stockwatch's value added news feed and is only available to Stockwatch subscribers. Here is a sample of this item: The U.S. Securities and Exchange Commission ... Stockwatch, 18 hours ago
Wipro settles with SEC on accounting issue Times of India, 1 month ago
TheStreet.com

Eaton Vance : U.S. Securities and Exchange Commission Approves Listing and Trading of 18 Eaton Vance NextShares Funds on The NASDAQ Stock Market LLC

Contact: Robyn Tice Contact: Stephen W. Clarke 617.672.8940 617.672.8660 U.S. Securities and Exchange Commission Approves Listing and Trading of 18 Eaton Vance NextShares Funds on The NASDAQ Stock Market LLC BOSTON, MA, July 22, 2015 - Eaton ...
 4 Traders19 hours ago New Information on Proposed Actively-Managed Exchange-Traded Fund Structures  MoneyShow.com22 hours ago EATON VANCE : New Information on Proposed Actively-Managed Exchange-Traded Fund Structures  4 Traders22 hours ago U.S. Securities and Exchange Commission Approves Listing and Trading of 18 Eaton Vance NextShares Funds on The..  ADVFN UK5 days ago
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Daily Finance

SEC investigating Smirnoff maker Diageo's U.S. distribution - WSJ

July 23 (Reuters) - The U.S. Securities and Exchange Commission is investigating if liquor company Diageo Plc has been shipping excess inventory to distributors to boost its results, the Wall Street Journal reported, citing people familiar with the ...
 CNBC4 days ago Diageo questioned by US watchdog  Ireland Business World4 days ago US watchdog questions Smirnoff maker Diageo's US distribution  Financial Express3 days ago UPDATE 1-SEC investigating Smirnoff maker Diageo's U.S. distribution - WSJ  Reuters UK4 days ago
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Drinks maker Diageo faces US probe

From the section Business The US regulator, the Securities and Exchange Commission (SEC), has launched an investigation into whether drinks company Diageo has been shipping excess stocks to customers to boost results. Sending customers more ...
 BBC4 days ago Diageo faces probe from US regulator over excess stock  NigerianHerald.com3 days ago Diageo shares dip on US SEC's regulatory probe  London South East4 days ago

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!! ...
 Lexology6 days 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

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 Times2 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

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

Goldman settles SEC charges it violated market access rule

REUTERS - Goldman Sachs Group Inc will pay $7 million to resolve U.S. Securities and Exchange Commission charges stemming from an August 2013 trading incident that resulted in the erroneous executions of options contracts and disrupted markets.
 Business Standard3 weeks ago Goldman settles SEC charges over 2013 options trading incident  Sify3 weeks ago
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