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About 795 results for "us securities and exchange commission..."

Executives Charged With Inflating Performance of Real Estate I...

) - The Securities and Exchange Commission today charged two former accounting executives with overstating the financial performance of a large publicly-traded real estate investment trust (REIT) then known as American Realty Capital Properties ... 4 Traders, 2 weeks ago
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PCAOB ENTERS INTO COOPERATIVE AGREEMENT WITH NEW GERMAN AUDITOR OVERSIGHT BODY

The Public Company Accounting Oversight Board has announced a cooperative agreement with the German Auditor Oversight Body (AOB), effective immediately. The agreement allows for cooperation between the PCAOB and the AOB in the oversight of audit ...
 Accounting Education3 weeks ago PCAOB Signs Pact with New German Audit Overseer  Accounting Today1 month ago Broker-Dealer Audit Deficiencies Continue at a High Level, PCAOB Says  AccountingWEB1 month ago

Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules

) - The Securities and Exchange Commission today announced that public accounting firm Ernst & Young has agreed to pay $9.3 million to settle charges that two of the firm's audit partners got too close to their clients on a personal level and ...
 4 Traders5 days ago
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Bridging the Week: August 15 to 19 and August 22, 2016 -Whistleblowing; President Banned; Bad Reports; CCP Risk; De Minimis [VIDEO]

Last week another publicly traded company was sanctioned by the Securities and Exchange Commission for using a standard severance agreement that the Agency claimed potentially impeded employees from exercising their whistleblowing rights. Also, the ...
 National Law Review1 month ago

Bricker Appointed SEC's Interim Chief Accountant

No one seems to stay too long in the role of chief accountant at the Securities and Exchange Commission. Over the past 10 years alone—or so—five accounting chiefs have vacated the post—sometimes abruptly—for one reason or another. Though ...
 Bloomberg BNA2 months ago US SEC names interim chief accountant  IAS Plus2 months ago FAF Statement on the Selection of Wesley R. Bricker as Interim Chief Accountant of the SEC  Financial Accounting Standards Board2 months ago SEC Chief Accountant Injured in Bike Accident  Accounting Today2 months ago

Securities Industry Experts Clarify the Realities of Taking a Private Company Public

Pubco CEO, officers and directors fall into two camps: "Going public was the best decision we ever made," and "If we knew then what we knew now, we would have stayed private." There is a very simple reason that going public transactions like ...
 Huffington Post2 weeks ago
AccountingWEB

SEC Adopts Changes to Form ADV Affecting Advisers to Private Investment Funds

, the U.S. Securities and Exchange Commission (SEC) adopted numerous substantive and technical amendments to Form ADV, Part 1A, whichpreviously had been proposed in a release dated May 20, 2015. Several of the amendments will affect how investment ...
 National Law Review3 weeks ago SEC Adopts Amendments to Form ADV and Recordkeeping Rule  JD Supra3 weeks ago Marcum Leads Q2 in New SEC Audit Clients  Accounting Today1 month ago SEC Proposes Amendments to Update and Simplify Certain Disclosure Requirements  JD Supra1 month ago
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Federal Register

Euroclear Bank SA/NV; Notice of Filing of Application To Modify an Existing Exemption From Clearing Agency Registration

On May 9, 2016, Euroclear Bank SA/NV (EB) filed with the Securities and Exchange Commission (Commission) an application on Form CA-1 requesting to modify an existing exemption  [1] (Existing Exemption) from clearing agency registration ...
 Federal Register2 weeks ago
Federal Register

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5735 To Adopt Generic Listing Standards for Managed Fund Shares

. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (Act), [1] and Rule 19b-4 thereunder, [2] notice is hereby given that on August 16, 2016, The Nasdaq Stock Market LLC (Nasdaq or Exchange) filed with the Securities and ...
 Federal Register1 month ago Nodal Exchange, LLC Variation of Exemption Order Notice  Ontario Securities Commission1 month ago Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 7 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares  Federal Register1 month ago
Harvard Law School Forum

Political Contributions and Lobbying Proposals

Following the U.S. Supreme Court's 2010 decision in Citizens United v. Federal Election Commission , the Securities and Exchange Commission (SEC) has been facing mounting pressure from certain members of Congress, interest groups and investors to ...
 Harvard Law School Forum1 month ago
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