11,473 results found

Car manufacturer General Motors ("GM") agreed to pay a $1 million penalty to settle SEC charges that GM had deficient internal accounting controls.

A bank settled SEC charges in connection with overcharging mutual funds and registered investment company clients for expenses relating to the custody of client assets.

A broker-dealer settled charges with FINRA for failing to maintain a system of supervisory control procedures that would have assured compliance with FINRA rules.

A broker-dealer settled FINRA charges that it failed to immediately execute, route or display customer limit orders in OTC securities that would lock or cross the market,

The CFTC appointed Tanisha Cole Edmonds as the agency's first Chief Diversity Officer.

Kimberly Hamm, Chief Council to former SEC Chair Jay Clayton, will step down in the coming weeks.

Comments on the proposed amendments must be submitted by December 14, 2021.

The SEC published in the Federal Register proposed rule changes to reporting requirements for security-based swap ("SBS") transactions. Comments on the proposal are due by March 21, 2022.

According to an SEC Order and Complaint, Barrett Business Services, Inc., through its former CFO, engaged in a number of fraudulent accounting practices to conceal negative trends in BBSI's workers' compensation exposure.

Economists discussed whether improved financial reporting, along with the improved flow of information from insiders to the bank's board and regulators, results in improved governance.

The European Securities and Markets Authority ("ESMA") provided additional guidance on the impact of a no-deal Brexit on the Markets in Financial Instruments ...

The SEC announced that Securities Exchange Act temporary Rule 608T expired on November 16, 2016.

A FINRA rule proposal extending its current pilot program for reviews of clearly erroneous transactions in exchange-listed securities was published in the Federal Register.

Comments may continue to be submitted to the SEC until January 11, 2019.

SEC amendments to auditor independence rules were published in the Federal Register. Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Provision")

The SEC approved a proposal to amend FINRA Rule 7730 to create a new Academic Corporate Bond TRACE Data product consisting of data on historic transactions in corporate bonds that would only be available to institutions of higher education.

The SEC approved a FINRA proposal, as amended, to eliminate or reduce several of the filing requirements applicable to FINRA members' communications with the public pursuant to FINRA Rules 2210...