Securex Compliance provides content to ensure filers and issuers remain up to date on relevant SEC© updates and industry news
Publisher: Forbes Author: Jordan Maglich In a blow to the in-house administrative proceedings increasingly utilized by the Securities and Exchange Commission, a Georgia federal judge has issued a preliminary injunction based on constitutional grounds that halts a pending administrative action alleging…
Publisher: Reuters Author: Sarah Lynch Democratic U.S. Senator Elizabeth Warren issued a scathing critique of Securities and Exchange Commission Chair Mary Jo White, citing executive pay rule delays and inadequate enforcement in the lawmaker's latest swing against the Obama administration's financial policies. In…
Publisher: Reuters Author: John McCrank The piecemeal approach taken by the U.S. Securities and Exchange Commission in regulating the stock market is not likely to lead to any major changes in the coming years, outgoing SEC© Commissioner Daniel Gallagher said…
Publisher: Reuters Authors: Jonathan Stempel & Sarah Lynch A group of investment managers and their firm have called into question the impartiality of a U.S. SEC judge who oversaw a case against them, leading the regulator to ask the judge if…
Publisher: Reuters Authors: Josh Schneyer, Sarah Lynch, & Brian Grow The U.S. Securities and Exchange Commission is investigating allegations that Andrew Liveris, chairman and chief executive officer of industrial giant Dow Chemical Co, misused company funds for personal benefit, according…
Publisher: USA Today Author: Matt Krantz Q: How can I tell a filing is fake? A: Investors are trained to treat what they see on the the Securities and Exchange Commission’s EDGAR system as fact. But now it pays to be…
Publisher: InvestmentNews The following is an edited version of testimony by Securities and Exchange Commission Chairwoman Mary Jo White May 5 before the Senate Appropriations Subcommittee on Financial Services and General Government. Understanding the growth in the size and complexity…
Publisher: Marketwatch Author: Francine McKenna A key senator has asked the Securities and Exchange Commission to explain how fake firms can file false notices on the agency’s electronic filing system that move share prices. Sen. Charles Grassley, an Iowa Republican…
Publisher: Forbes Author: Michael Raneri Starting June 19, 2015, private companies have a new way to raise capital. Spurred by the JOBS Act, the SEC© has approved changes to the little-used Regulation A that will allow companies two newly defined…
Publisher: Reuters Author: Sarah Lynch U.S. securities regulators proposed new rules on Wednesday that would require mutual funds and other asset managers to report much more detailed data about their holdings. The Securities and Exchange Commission's plan is one of…