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About 725 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 ..., 1 month ago
"SEC Considers Possible Revisions to Audit Committee Disclosures" National Association of Corporate Directors, 1 month 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 month ago SEC Proposes Executive Compensation Clawback Rule  National Law Review1 month ago SEC Proposes Rules for Reporting Separately Managed Accounts on Form ADV and Revised Recordkeeping Rules  JD Supra2 months 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 month 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 ...
 Lexology1 month ago

Bramwell's Lunch Beat: SEC In-House Court Process Suffers Another Setback

SEC loses again as US judge rejects in-house court process A second federal judge slapped down the US Securities and Exchange Commission (SEC), ruling its method for appointing in-house judges was likely unconstitutional, wrote Bob Van Voris of ...
 AccountingWEB2 weeks 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 ...
 Reuters2 months 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.com1 month ago Central Pacific Financial Corp. Reports $12.3 Million Second Quarter Earnings  Barchart1 month ago Mid Penn Bancorp, Inc. Reports Second Quarter Earnings Increase of 20% and Declares Dividend  BioSpace1 month ago
U.S. Senator Jack Reed

Reed Seeks to Double Statute of Limitations for Securities Law Violations

8/07/2015— WASHINGTON, DC In an effort to strengthen the integrity of our financial marketplace, better protect public investors, and empower the Securities and Exchange Commission (SEC) to investigate and pursue more securities law violators, ...
 U.S. Senator Jack Reed3 weeks 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 Canada2 months ago Foresight 3 VCT PLC : Annual Financial Report  EuroInvestor1 month ago Foresight 3 VCT PLC Foresight 3 Vct Plc : Annual Financial Report  ADVFN UK1 month ago REG-Foresight 3 VCT PLC : Annual Financial Report  Reuters1 month 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 Traders1 month ago
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