All Securities and Exchange Commission articles – Page 65
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ArticleWith a new chairman, SEC readies its focus on IPOs, capital formation
Expect a focus on capital formation and improving the stagnant marketplace for public offerings under new SEC Chairman Jay Clayton.
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Article
Obama’s ‘fiduciary duty’ rule may be living on borrowed time
Free-market advocates are gaining traction to overturn the Obama administration’s rule that places additional responsibilities upon financial services representatives.
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Blog
SEC charges CEO with failing to disclose perks to shareholders
A former CEO will pay $5.5 million to settle SEC allegations that perks, benefits, and other forms of compensation were not properly disclosed to shareholders.
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Blog
SEC's new chairman fills key posts
Jay Clayton, the recently confirmed chairman of the SEC, has named his new chief off staff and a new director of the Division of Corporation Finance.
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Blog
Dems call on SEC, CFTC to investigate top Trump advisor
Senate Democrats are asking the CFTC, SEC, and EPA to investigate Carl Icahn, a top adviser to President Trump, for potential insider trading and market manipulation.
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ArticlePeter Driscoll: The risk detective
Under Peter Driscoll’s lead, the SEC Office of Compliance Inspections and Examinations uses a risk-based approach to fulfill its mission to promote compliance with U.S. securities laws.
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Blog
Clayton confirmed as SEC chairman
On May 2, the Senate confirmed President Donald J. Trump’s nomination of Jay Clayton as chairman of the SEC. Clayton, previously a partner with the law firm Sullivan & Cromwell, has a reputation as a master of corporate deal making.
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Blog
SEC awards $500K to whistleblower
The SEC today awarded a whistleblower more than $500,000 for reporting information that prompted an investigation into misconduct that resulted in an enforcement action. It is the second whistleblower award announced by the SEC in the past week.
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Blog
Newmont Mining FCPA probe ends in SEC declination
Gold mining company Newmont Mining said this week in a securities filing that the Securities and Exchange Commission does not plan to bring an enforcement action in connection with a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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Blog
SEC awards $4M to whistleblower
The SEC this week announced that it has awarded nearly $4 million to a whistleblower who tipped off the agency about serious misconduct and provided additional assistance during the ensuing investigation.
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Article
Under new leadership, which way will the SEC go?
Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
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Article
SEC renews its offensive against ‘fake news’
Fake news, in the eyes of the SEC, isn’t just a problem during election year. Over several decades, stock price manipulations have been predicated on rumors and hoaxes.
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Blog
Raymond James to pay $150M to resolve fraud scheme
Raymond James Financial has reached a $150 million settlement to resolve all investor claims that the firm stole and misused millions of dollars raised through investments solicited under the federal EB-5 visa program.
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Blog
SEC backs away from conflict minerals rule enforcement
With the May 31 deadline for conflict minerals disclosures fast approaching, a court ruling has prompted the SEC to ease its enforcement posture regarding those requirements while it rethinks the rule.
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Blog
Bill would ease SEC requirements on employee stock
The U.S. House of Representatives has voted in favor of a bill that would reduce SEC disclosure requirements for certain companies that offer employees stock options.
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Blog
Bipartisan bill would increase SEC penalties
A bipartisan bill making the rounds in Congress seeks to strengthen the SEC’s enforcement authority with increased fines.
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Blog
Clayton's SEC nomination advances to Senate
With majority approval by members of the Senate Banking Committee, President Donald J. Trump’s nomination to head the SEC, Jay Clayton, now heads to a confirmation vote before the full Senate.
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Blog
Kara Brockmeyer, Chief of FCPA Unit, to leave SEC
Kara Brockmeyer, Chief of the Enforcement Division’s Foreign Corrupt Practices Act Unit, is planning to leave the agency later this month, the Securities and Exchange Commission announced.
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Article
The compliance side of the circuit split on whistleblower protections
An ongoing legal dispute over how far whistleblower protections extend beyond Dodd-Frank provisions highlights that best practices are already a few steps ahead of the law.
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Article
Love it or hate it, opinions abound over SEC pay ratio rule
As the public comment period expires on the SEC’s controversial pay ratio rule, we review the commentary, both pro and con.