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About 799 results for "us securities and exchange commission..."

PCAOB Mulling New Form for Naming Audit Partner

PCAOB Mulling New Form for Naming Audit Partner

The Public Company Accounting Oversight Board is seeking public comment on a middle ground proposal to disclose the names of lead audit partners in a new form to be filed with the regulator rather than in the auditor's report. Since 2005, the ..., 3 weeks ago
"SEC Considers Possible Revisions to Audit Committee Disclosures" National Association of Corporate Directors, 2 weeks ago

SEC proposes expanding reporting requirements for investment advisers

, the Securities and Exchange Commission (the SEC) proposed new rules, forms and amendments that would expand the information that registered investment advisers1 are required to report. The changes are intended to enhance the information available ...
 Lexology1 week ago SEC Proposes Executive Compensation Clawback Rule  National Law Review2 weeks ago SEC Proposes Rules for Reporting Separately Managed Accounts on Form ADV and Revised Recordkeeping Rules  JD Supra1 month ago

A Threefold Cord [1] — Working Together to Meet the Pervasive Challenge of Cyber-Crime

Commissioner Luis A. Aguilar United States Securities and Exchange Commission Good morning. Thank you for that kind introduction. It is my honor to deliver the opening remarks for today's Innovation Summit. I am glad to be at an event ...
 SEC1 week ago

Financial services update vol. 10, issue 23

Insights from Winston & Strawn On June 29, 2015, the Securities and Exchange commission (SEC) settled an enforcement action against Kohlberg Kravis Roberts & Co., a private equity firm and registered investment adviser (the Respondent). The SEC's ...
 Lexology2 weeks ago

Bridging the Week: June 8 to 12 and 15, 2015 (Fair and Effective Markets, ALJs Unconstitutional, Europe's More Extensive Position Limits)

A US federal court in Georgia enjoined an administrative enforcement hearing brought by the Securities and Exchange Commission on the grounds that the administrative law judge was appointed in an unconstitutional manner. On the other side of the ...
 National Law Review1 month ago

U.S. regulators plan first-ever inspection of audit firm in China

NEW YORK The inspection is expected to take place this year, subject to final agreements, a spokesman for the Public Company Accounting Oversight Board (PCAOB), the main U.S. audit regulator, told Reuters on Monday. The PCAOB has been seeking ...
 Reuters1 month ago

Calamos Asset Management, Inc. Reports Second Quarter 2015 Results and Declares Dividend

/PRNewswire/ -- Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Calamos Investments LLC, with the remaining 77.8% privately owned by Calamos Family Partners, Inc.
 TickerTech.com2 days ago Central Pacific Financial Corp. Reports $12.3 Million Second Quarter Earnings  Barchart6 days ago Mid Penn Bancorp, Inc. Reports Second Quarter Earnings Increase of 20% and Declares Dividend  BioSpace1 week ago

SMALL COMPANIES ZDP PLC - Annual Financial Report

SMALL COMPANIES ZDP PLC ANNUAL FINANCIAL REPORT FOR THE YEAR ENDED 30 APRIL 2015 The full Annual Report and Accounts can be accessed via the Investment Manager's website at or by contacting the Company Secretary on telephone ...
 Stockhouse Canada1 month ago Foresight 3 VCT PLC : Annual Financial Report  EuroInvestor10 hours ago Foresight 3 VCT PLC Foresight 3 Vct Plc : Annual Financial Report  ADVFN UK10 hours ago REG-Foresight 3 VCT PLC : Annual Financial Report  Reuters10 hours ago

CBOE : Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Trading...

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated ; Order Granting Approval of Proposed Rule Change Relating to Trading Permit Holder Qualifications June 26, 2015 . I. Introduction On May 4, 2015 , Chicago Board ...
 4 Traders2 weeks ago

New Hire Roundup: OConnell Named Chief Risk Officer at Phoenix Cos.

This week in personnel announcements and new hires, Lewis Ferguson was reappointed to a second term on the Public Company Accounting Oversight Board; Eric Weis went to Armanino LLP, Allianz Life promoted James Nelson; and the Phoenix Cos. named Gina ...
 AdvisorOne3 weeks ago
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