All Securities and Exchange Commission articles – Page 63
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Article
Beyond the breach: SEC’s Clayton on clawbacks, fiduciary rules, and materiality
While much of his time before the Senate Banking Committee last week focused on a newly disclosed 2016 data breach, SEC Chairman Jay Clayton weighed in on numerous other topics.
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Blog
SEC’s Clayton provides update on EDGAR breach
An update issued by the SEC on Oct. 2 outlines projects and initiatives it has launched in the aftermath of a recently announced 2016 breach of the EDGAR filing system.
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Blog
SEC offers relief, deadline extensions for hurricane victims
The SEC is providing regulatory relief to publicly traded companies and others unable to meet filing requirements due to hurricane damage and mail disruptions.
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Blog
Alere to pay $13M for accounting fraud charges
Medical manufacturer Alere has agreed to pay more than $13 million to settle charges that it committed accounting fraud through its subsidiaries to meet revenue targets and made improper payments to foreign officials to increase sales in certain countries.
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Blog
Exasperated Clayton briefs Senators on SEC breach
SEC Chairman Jay Clayton provided fresh insight into the Commission's recently annunced 2016 data breach during scheduled testimony before the Senate Banking Committee.
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Article
SEC data breach reveals fear and loathing in the mainframe
A breach disclosure by the SEC does the agency no favors as it prepares to dig deep into data troves for market surveillance.
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Blog
SEC offers interpretive guidance, scenarios for pay ratio rule
Lacking a reprieve from its effective date, the SEC has released interpretive guidance intended to assist companies in their efforts to comply with the controversial pay ratio rule.
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Blog
Telia Company and Uzbek subsidiary to pay $965M for FCPA violations
Sweden-based telecommunications provider Telia Company and its Uzbek subsidiary, Coscom, will pay $965 million in total penalties in a global settlement to resolve corruption charges arising out of a scheme to win business in Uzbekistan.
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Blog
Former SEC Enforcement Director joins King & Spalding
Richard Walker, former Director of Enforcement at the Securities and Exchange Commission, has joined international law firm King & Spalding as a partner in the Special Matters & Government Investigations group, resident in the New York office.
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Blog
SEC: SunTrust improperly recommended higher-fee mutual funds
The SEC has charged the investment services subsidiary of SunTrust Banks with collecting more than $1.1 million in avoidable fees from clients by improperly recommending more expensive share classes of various mutual funds when cheaper shares of the same funds were available.
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Blog
Legislation seeks to extend applicability of SEC's Reg A+
Keeping with efforts to improve capital formation, the House of Representatives has approved legislation that would extend applicability of the SEC's Regulation A+.
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Article
SEC’s controversial pay ratio rule still alive and problematic
The SEC’s rule requiring companies to disclose the ratio between CEO and average worker pay persists despite much pushback from business and government alike.
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Blog
State Street to pay $35M for disclosure failures
State Street today agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. Treasury securities.
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Blog
SEC’s Piwowar cleared of overstepping bounds with rule re-proposals
SEC Commissioner Michael Piwowar, while serving as acting chairman, acted appropriately when moving forward with rule re-proposals, says Inspector General Carl Hoecker in a response to complaints by Senate Democrats.
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Blog
IAA: Preserve advisers’ fiduciary standard, impose same on broker-dealers
Bucking the trend established by vocal critics of the rule, the Investment Adviser Association wants the SEC to preserve the fiduciary duty for investment advisers and adopt an equally stringent standard for broker-dealers.
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Article
Distilling lessons from the uptick in FCPA declinations
As the number of FCPA declinations is up, all indicators point to a general desire on the part of the DoJ and SEC to clear out old cases and re-evaluate which ones to pursue.
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Blog
Robert Jackson, architect of political spending petition, nominated to SEC
President Trump has nominated Robert Jackson, a professor at Columbia University and proponent of a controversial political spending disclosure rule proposal, to be a member of the SEC.
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Blog
SEC names director of DERA
The Securities and Exchange Commission has named Jeffrey Harris as director of the agency's Division of Economic and Risk Analysis (DERA). He replaces former director Mark Flannery, who left the agency to return to teaching.
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Blog
Chairman Clayton names executive staff
The Securities and Exchange Commission has named seven individuals to the executive staff of Chairman Jay Clayton.
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Blog
SEC’s requirement for hyperlinks in filings now in effect
As of Sept. 1, rule and form amendments requiring hyperlinks are in effect. The changes were put in place by the SEC to make it easier for investors and other market participants to find and access exhibits in registration statements and periodic reports.