Home Securities and Exchange Commission

Company: Securities and Exchange Commission

1001 results found
business man using magnifying glass to inspect documents

Supervisory lapses allowed shady trading to go unchecked

advisor working from home

The proposals seek a more investor-friendly approach to fund disclosure

16253748 - hand of a businesswoman at her desk with a pen and a clipboard

SEC adopts reforms that will give issuers a bigger voice

gavel

Firm co-founder accused of defrauding investors by mismarking, making up investments

Businessman Blowing Whistle Isolated on White Background

Tip led to millions of dollars being returned to investors

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Firm allegedly sold stock based on false hype about its wind turbine technology

Business lawyer team. Working together of lawyer in the meeting.

SEC and CTFC settle charges against app developer

United States Federal Reserve System symbol

Proposal would boost reporting threshold from US$100 million to US$3.5 billion

  • July 10, 2020 July 10, 2020
  • 17:11
agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

A court ruling against the SEC has implications for Canada

suspicious client

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct