Home Securities and Exchange Commission

Company: Securities and Exchange Commission

877 results found
Judge gavel, scales of justice and law books in court

International plot to hack into SEC’s regulatory filing system allegedly netted US$4.1 million

Firms sanctioned for making misleading statements to investors

CSA to co-ordinate with U.S. regulator

xhausted businessman dragging heavy chains

Creation of internal group reflects shift in approach toward securities regulation by OSC and the provincial government

Report highlights enforcement division’s activities

Stock exchange board with abstract background

There is an increased possibility that legal challenges will be successful, Moody’s report says

Fintech Investment abstract concept with business people on stock market background

The innovation hub replaces a number of SEC working groups

Wall street sign in New York with American flags and New York Stock Exchange background.

NYSE Arca and Nadaq failed to prove fees challenged by SIMFA were fair

United States Capitol, Washington DC

The new plan will guide the U.S. regulator’s work over the next four years

The anonymous tipster furnished extensive assistance which helped the U.S. regulator bring a successful enforcement action in the case