21,175 results found

The SEC Advisory Committee on Small and Emerging Companies will hold its next meeting on Tuesday, July 19, 2016 at 9:30 a.m. EDT.

The SEC announced the agenda for the first meeting of the reconstituted Advisory Committee. The Committee will meet on February 25th beginning at 9.30am.

On May 10, 2017, the SEC Advisory Committee on Small and Emerging Companies (the "Committee") will meet to discuss several regulatory issues relating to the capital-raising activities of small issuers.

The SEC announced the agenda for its October 5, 2016 meeting of its Advisory Committee on Small and Emerging Companies.

The SEC Division of Trading and Markets granted no-action relief to an introducing broker from the requirement to transmit a customer's check to the clearing broker-dealer by noon of the next business day after receipt.

The SEC has adopted new rule amendments to modernize disclosures by mining companies.

The SEC has posted this announcement regarding the closure of the SEC and the EDGAR system on Wednesday, December 5, 2018, in observance of a national day of mourning for former President George H.W. Bush.

On January 12, 2017, the Securities and Exchange Commission released the 2017 examination priorities for its Office of Compliance Inspections and Examinations.

On 24 August 2018, the SEC announced that in fiscal year 2019 the fees that public companies and other issuers pay to register their securities ...

The SEC announced the appointment of three new members to the Investor Advisory Committee.

In an Investor Bulletin, the SEC underscored the importance of exercising caution before buying ...

Starting in early February 2022, Lori H. Price will begin serving as the Acting Director of the Office of Credit Ratings ("OCR"), replacing Ahmed A. Abonamah.

William A. Birdthistle, a professor at the Chicago-Kent College of Law, was appointed to lead the SEC Division of Investment Management.

The SEC approved amendments to FINRA's customer and industry arbitration rules concerning arbitration honorariums.

Through FINRA Regulatory Notice 17-30, the Securities and Exchange Commission (SEC) approved certain rule changes. These changes will:

The SEC approved a minor rule violation plan ("MRVP") for ISE Mercury, LLC (the "Exchange") that grants discretion to the Exchange to impose a maximum fine of up to $2,500 for rule violations...

On September 18, the SEC unanimously adopted permanent registration rules for municipal advisors as required by the Dodd-Frank Act.

The SEC awarded $2.5 million to two whistleblowers for providing information that led to several successful enforcement actions.