21,175 results found

SEC Division of Corporation Finance Associate Director James M. Daly will retire at the end of September.

SEC Division of Risk and Analysis ("DERA") Director and Chief Economist Jeffrey H. Harris will step down from his position and return to academia on a full-time basis.

SEC Division of Trading and Markets Associate Director Wenchi Hu will leave the Commission in February 2017.

The SEC Division of Economic and Risk Analysis and the Division of Trading and Markets are effectively ending the Tick Size Pilot Program at the end of trading on September 28, 2018 rather than on October 1, 2018.

Each fund tracks, or will track, the performance of an underlying index.

Subject to certain conditions, the SEC Division of Corporation Finance granted exemptive relief to Indian company Mphasis Limited from Exchange Act Rule 14e-1(a).

The SEC extended, until March 15, 2019, the comment period for its proposed rules and form amendments to improve disclosures for purchasers of variable annuities and variable life insurance contracts.

The SEC extended exemptive relief to Nasdaq BX, Inc. from the minimum penny pricing increment requirements of Rule 612 of Regulation NMS.

The SEC voted to extend by six months the deadline for open-end funds to comply with certain elements of the liquidity risk management program rule.

The new fee rate will take effect on Oct. 1, 2019, the first day of the U.S. government's 2020 fiscal year.

Fenwick partner and securities enforcement co-chair Mike Dicke lays out the U.S. Securities and Exchange Commission's hot-button areas of enforcement activity.

The Commission announced that its annual forum on Small Business Capital Formation will be held on Thursday, November 21st.

In a departure from prior practice, this year's SEC Government-Business Forum, an annual event typically held at the SEC's offices in Washington, DC...

The SEC recently announced the agenda for next week’s forum, which will be held on November 15, 2012.

The SEC issued an order granting a conditional exemption to a credit rating agency registered as a nationally recognized statistical rating organization from the Securities Exchange Act Section...

The SEC Division of Corporation Finance granted exemptive and no-action relief to a technology company and two subsidiaries from certain tender offer requirements in connection with a complex series of transactions.

SEC Grants Exemption to Japanese Credit Rating Agency.

Subject to certain conditions, the SEC Division of Corporation Finance granted exemptive relief to an Argentinian transporter of natural gas and three other companies.