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About 931 results for "us securities and exchange commission"

U.S. SEC launches municipal adviser exams

Aug 19 (Reuters) - The U.S. Securities and Exchange Commission said on Tuesday it is launching compliance exams for municipal advisers, a group of financial professionals that are new to the SEC's regulatory regime. In a letter sent to the heads ... Reuters, 1 day ago
U.S. SEC Launches Municipal Advisor Exams WealthManagement.com, 22 hours ago

1,101 images for us securities and exchange commission

Reuters, 23 hours ago
Business Insider, 6 days ago
Reuters, 1 week ago
Pique News Magazine, 6 days ago
Toronto Star Online, 1 month ago
Reuters, 1 month ago
Find Law, 2 months ago
International Business Times UK, 2 months ago
JD Supra, 1 week ago
NEWS.com.au, 1 day ago

Regulators and prosecutors discuss securities and commodities enforcement priorities

In late July, we attended a seminar at which David Glockner, the new Director of the Securities and Exchange Commission's Chicago Regional Office, Scott Williamson, a Deputy Regional Counsel in the Commodity Futures Trading Commission's Chicago ...
 Lexology2 days ago

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 ...
 Sify2 weeks 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 weeks ago Facebook says SEC's IPO probe ends, extending WhatsApp closing date  Business Standard3 weeks ago Citigroup unit pays record penalty to settle US SEC charges  Economic Times3 weeks ago IBM escapes SEC action on cloud revenue accounting  Times of India2 months ago
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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 weeks 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 Times4 weeks ago
Reuters

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 month ago Rengan Rajaratnam cleared, US insider trading streak snapped  The Financial Chronicle1 month ago
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Exclusive - U.S. SEC official dissented on BNP Paribas waiver

By Sarah N. Lynch WASHINGTON (Reuters) - An official at the U.S. Securities and Exchange Commission broke ranks with other commissioners and voted against granting BNP Paribas a waiver to continue operating several investment advisory units in the United ...
 Sify1 month ago US SEC official dissented on BNP Paribas waiver  Business Standard1 month 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 Times1 month ago

US Securities and Exchange Commission asks exchanges, FINRA to submit 'tick size' pilot plan

In an order late on Tuesday, the SEC directed US stock exchanges and FINRA to work together to submit a plan in the next 60 days to implement the pilot program. The US Securities and Exchange Commission unveiled a one-year "tick size" pilot program to let ...
 Economic Times1 month ago
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