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  1. Jaime Lizárraga Sworn In as SEC Commissioner

    Published by MoreHere Reporter 3, 2 Weeks Ago 02:42 AM Tags: commission  commissioner  exchange  Jaime  Lizárraga  securities  sworn  u.s. 
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    CMS:
    Finance

  2. SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers

    Published by MoreHere Reporter 3, 3 Weeks Ago 03:18 PM Tags: Adopts  Advisers  commission  electronic  exchange  filing  Institutional  investment  Managers  Require  rules  securities  u.s. 
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    CMS:
    Finance

  3. U.S. Securities and Exchange Commission Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act

    Published by MoreHere Reporter 3, 06-07-2022 06:33 PM Tags: act  Charges Global  commission  corrupt  exchange  foreign  manufacturer  Pipe  practices  securities  steel  u.s.  Violating 
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    Finance

  4. U.S. Securities and Exchange Commission Updates List of Firms it says are Using Inaccurate Information to Solicit Investors

    Published by MoreHere Reporter 3, 04-26-2022 01:36 PM Tags: commission  exchange  firms  Inaccurate  information  investors  list  securities  Solicit  u.s.  updates 
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    Directory

  5. U.S. Securities and Exchange Commission announces Fee Rate Advisory Number1 for Fiscal Year 2022

    Published by MoreHere Reporter 3, 04-14-2022 10:47 AM Tags: 2022  advisory  announces  commission  exchange  fee  Number  r Fiscal  rate  securities  u.s.  year 
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    CMS:
    Finance

  6. U.S. Securities and Exchange Commission Division of Examinations Announces 2022 Examination Priorities

    Published by MoreHere Reporter 3, 04-13-2022 02:15 PM Tags: 2022  announces  commission  division  Examination  examinations  exchange  Priorities  securities  u.s. 
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    CMS:
    Finance

  7. SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities

    Published by MoreHere Reporter 3, 04-12-2022 08:32 AM Tags: commission  exchange  Execution  facilities  proposes  registration  regulation  rules  securities  Security-Based  Swap  u.s. 
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    The Front Page

  8. SEC to Host Free Virtual Outreach Event to Help Older Adults and Their Caregivers Avoid Financial Fraud

    Published by MoreHere Reporter 3, 03-30-2022 11:45 PM Tags: adults  commission  event  exchange  financial  fraud  free  host  Older  outreach  securities  Their Caregivers  u.s.  virtual 
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    Seniors

  9. SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising

    Published by Staff Reporter 2, 10-12-2020 05:12 AM Tags: small  securities  SEC  Raising  proposes  Finders  Exemption  exchange  Conditional  commission  capital  businesses  assisting 
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    CMS:
    Finance

  10. U.S. Securities and Exchange Commission Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K

    Published by Staff Reporter 2, 08-14-2019 07:50 AM Tags: business  commission  Disclosures  exchange  Factors  legal  modernize  Proceedings  proposes  regulation  risk  S-K  securities  u.s. 
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    CMS:
    Finance

  11. U.S. Securities and Exchange Commission Announces Agenda and Panelists for 2019 Small Business Forum in Omaha

    Published by Staff Reporter 2, 08-12-2019 04:28 PM Tags: 2019  agenda  announces  business  commission  exchange  forum  omaha  Panelists  securities  small  u.s. 
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    CMS:
    Finance

  12. U.S. Securities and Exchange Commission Adopts Amendments to Codify Exemption to Credit Rating Agency Rule

    Published by Staff Reporter 2, 08-09-2019 09:46 AM Tags: Adopts  agency  amendments  Codify  commission  credit  exchange  Exemption  rating  rule  securities  u.s. 
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    Finance

  13. U.S. Securities and Exchange Commission Chairman Clayton Announces Event for Main Street Investors in Chicago

    Published by Staff Reporter 2, 08-06-2019 06:27 PM Tags: announces  chairman  Chicago  Clayton  commission  event  exchange  investors  Main  securities  street  u.s. 
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    CMS:
    Finance

  14. Principal Deputy Assistant Secretary Michael Faulkender Economy Statement for the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association

    Published by Staff Reporter 2, 08-02-2019 06:00 AM Tags: advisory  assistant  association  borrowing  committee  deputy  Economy  Faulkender  financial  industry  markets  michael  Principal  secretary  securities  statement  treasury 
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    CMS:
    Finance

  15. Report to the Secretary of the Treasury from the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association

    Published by Staff Reporter 2, 08-02-2019 06:11 AM Tags: advisory  association  borrowing  committee  financial  industry  markets  report  secretary  securities  treasury 
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    Finance

  16. Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association July 30, 2019

    Published by Staff Reporter 2, 08-02-2019 06:30 AM Tags: 2019  advisory  association  borrowing  committee  financial  industry  July  markets  meeting  minutes  securities  treasury 
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    CMS:
    Finance

  17. U.S. Securities and Exchange Commission Obtains Asset Freeze in alleged Microcap Pump and Dump Scheme Targeting Elderly Retail Investors

    Published by Staff Reporter 2, 07-27-2019 09:14 AM Tags: alleged  Asset  commission  Dump  elderly  exchange  Freeze  investors  Microcap  obtains  Pump  Retail  scheme  securities  targeting  u.s. 
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    CMS:
    Finance

  18. U.S. Securities and Exchange Commission Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR

    Published by Staff Reporter 2, 07-23-2019 07:09 AM Tags: commission  exchange  highlighting  LIBOR  market  participants  publishes  Risks  securities  staff  statement  Transition  u.s. 
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    Finance

  19. U.S. Securities and Exchange Commisssion Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals

    Published by Staff Reporter 2, 06-06-2019 09:34 AM Tags: rules  Retail  Relationships  protections  professionals  preserve  investors  Interpretations  financial  exchange  enhance  Commisssion  choice  Adopts  securities  u.s. 
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    CMS:
    Finance

  20. U.S. Securities and Exchange Commission Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements

    Published by Staff Reporter 2, 05-16-2019 01:37 PM Tags: actions  application  based  border  commission  Cross  exchange  improve  proposes  requirements  securities  security  Swap  u.s. 
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    CMS:
    Finance

  21. U.S. Securities and Exchange Commission Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions

    Published by Staff Reporter 2, 05-11-2019 12:00 AM Tags: Accelerated  amendments  commission  definitions  exchange  Filer  large  proposes  securities  Tailor  tAppropriately  u.s. 
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    CMS:
    Finance

  22. Securities and Exchange Commission Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses

    Published by Staff Reporter 2, 05-04-2019 09:02 AM Tags: Acquisitions  businesses  commission  Disclosures  Dispositions  exchange  improve  proposes  securities 
    • Comments: 0

    CMS:
    Finance

  23. General Electric Agrees to Pay 1.5 Billion Dollars Penalty for Alleged Misrepresentations Concerning Subprime Loans Included in Residential Mortgage-Backed Securities

    Published by Staff Reporter 2, 04-18-2019 09:16 PM Tags: 1.5  agrees  alleged  Backed  billion  electric  general  Included  loans  Misrepresentations  mortgage  pay  penalty  residential  securities  Subprime 
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    CMS:
    Finance

  24. U.S. Securities and Exchange Commission Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee

    Published by Staff Reporter 2, 04-12-2019 07:43 PM Tags: advisory  agenda  april  commission  committee  exchange  Fixed  Income  issues  market  meeting  securities  structure  u.s. 
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    CMS:
    Finance

  25. New Securities and Exchange Commission Campaign Educates Investors on Where and How to Get Answers

    Published by Staff Reporter 2, 04-10-2019 10:49 PM Tags: Answers  campaign  commission  Educates  exchange  investors  securities 
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    CMS:
    Finance

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