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U.S. Securities and Exchange Commission

toshiba

Toshiba says U.S. SEC completes accounting probe, no penalty

25/06/2018(0)
Japan’s Toshiba Corp on Monday said the U.S. Securities and Exchange Commission (SEC) had completed an investigation of its past accounting practices without fining the company. “We understand that ... Read More
sec

SEC Announces Measures to Facilitate European Union’s MiFID II’s Research Provisions

27/10/2017(0)
Following consultation with European authorities, and in response to concerns that investors could lose access to valuable research, the staff of the U.S. Securities and Exchange Commission issued three ... Read More
Bats-global

Exchange operator BATS files to go public

16/12/2015(0)
BATS Global Markets Inc filed for an initial public offering with U.S. regulators on Wednesday, in what would be the exchange operator’s second attempt at going public. The company ... Read More
sec-logo

SEC Charges Three RMBS Traders With Defrauding Investors

09/09/2015(0)
The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on them for honest and accurate pricing information about residential ... Read More
oil

Big U.S. investors push SEC for oil industry to detail risks of climate change

17/04/2015(0)
Calpers, the largest American public pension fund, and nearly 60 other institutional investors will ask the U.S. Securities and Exchange Commission on Friday to require oil and natural gas companies to publish ... Read More
oil-company-iraq

The Price of Oil Is About to Blow a Hole in Corporate Accounting

04/03/2015(0)
There’s one place in the world where oil is still $95 a barrel. On paper. The U.S. Securities and Exchange Commission requires drillers to calculate the value of their ... Read More
Blackberry sign

SEC probes Blackberry options trading ahead of Reuters report about Samsung talks

06/02/2015(0)
The U.S. Securities and Exchange Commission is investigating a January 14 spike in trading in BlackBerry Ltd options that took place hours before Reuters reported that Samsung Electronics Co ... Read More
SEC

SEC to Impose Penalties More Often in Muni Fraud Cases

11/11/2014(0)
The U.S. Securities and Exchange Commission plans to impose penalties more frequently in the $3.7 trillion municipal securities market. “An enforcement model with no penalties was not sustainable,” Andrew ... Read More
SEC

SEC probing private equity performance figures

29/10/2014(0)
The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new funds to investors, as the ... Read More
sec

SEC Shelves Plan for Private Asset-Backed Bond Disclosure

28/08/2014(0)
The U.S. Securities and Exchange Commission, while expanding disclosure requirements for one set of asset-backed securities, has stepped back from a plan to shed more light on a major ... Read More
Broker Cyprus TopFX