Atkins announces intention to leave regulator
U.S. Securities and Exchange Commissioner Paul Atkins announced that he intends to leave the SEC following the end of his term.Appointed in August 2002 for the first of two terms, he plans to stay until his successor is appointed and takes office. During his almost six years in office, Atkins has advocated greater transparency and […]
The U.S. Securities and Exchange Commission’s Division of Corporation Finance announced that it has completed its review of its cross-border tender, exchange offer and business combination rules, and has prepared recommendations for consideration by the commission.The goal of the review of the current rules, which were adopted by the commission in 1999, was to determine […]
Rumor sparked heavy trading in Alliance Data Systems
The U.S. Securities and Exchange Commission announced the launch of its latest offensive targeting online boiler rooms, cold calls, and other potentially fraudulent financial solicitations.The SEC’s initiative is called “PAUSE” for Public Alert: Unregistered Soliciting Entities. The SEC is providing investors with information that it has received from investor complaints and other sources, including foreign […]
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Discussions between SEC and Australian authorities represent first step toward possible bilateral arrangement
U.S. regulator should reform Rule 15a-6 immediately, association says
Biovail to pay US$10 million penalty
Framework would allow for discussions with jurisdictions with multiple securities regulators