Tag Archives: SEC
Agenda Announced for SEC Advisory Committee Meeting For Small and Emerging Companies
23
2013
The Securities and Exchange Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies on Wednesday, May 1. The Advisory Committee will hear presentations from Robert Greifeld, Chief Executive Officer of NASDAQ OMX …
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The Securities and Exchange Commission today announced that Acting Director George Canellos and former federal prosecutor Andrew Ceresney have been named Co-Directors of the Division of Enforcement. 48 year old Mr. Canellos has been serving as Acting Director since January, …
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It’s been over a week since FXCM launched its hostile takeover for Gain Capital. In the interim, Gain Capital’s Board initiated a ‘poison pill’ last to transfer more power of the negotiations into their hands. However, since that time the …
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Mary Jo White has been sworn in as the 31st Chair of the Securities and Exchange Commission (SEC). Chairman White comes to the SEC with decades of experience as a federal prosecutor and securities lawyer. She was nominated to be …
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The Securities and Exchange Commission (SEC) has completed its report on the using of Social Media outlets for the distribution of company information. The investigation was conducted after Netflix’s CEO Reed Hastings had published monthly viewing results on his Facebook …
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SEC Gains Restitution Over Insider Trading Case. Traders Agree to $3.3 million Settlement
2
2013
The United States Securities and Exchange Commission (SEC) has announced that a Chinese businessman and his wife whose trading accounts were frozen last year as part of a major insider trading case have agreed to settle charges that they loaded …
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Securities and Exchange Commission Seeks to Set Structured Guidelines on Systems Reliability
10
2013
Last Thursday, the Securities and Exchange Commission unanimously proposed new rules to require certain key market participants to have comprehensive policies and procedures in place surrounding their technological systems. The SEC’s proposal, which has been given the name “Regulation SCI” …
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US SEC Chairman Elisse B Walker Submits Testimony on OTC Product Rulings to Senate Committee
18
2013
Following last Thursday’s government hearing on further laws to be included in the Dodd-Frank act to regulate financial institutions and safeguard client capital, SEC Chairman Elisse B Walker has provided a detailed testimony in relation to the structured implementation of …
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Thailand’s Financial Regulator, SEC Files Criminal Complaint Against Ex-Fund Manager and Accomplices for Front Running
18
2013
The SEC filed a criminal complaint against Sopana Janeborvorn, a former mutual fund manager who was then responsible for the operations of Kasikorn Asset Management Co., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity …
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In a story that US forex firms will sympathize with, the US Mutual Fund industry is appealing a December 12th ruling that backed a CFTC ruling that investment funds engaged with trading commodities and futures would need to register with …
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