SEC© News and Public Statement is a content hub that provides up to date industry news and SEC© press releases.
Publisher: Reuters Author: Nate Raymond The U.S. Securities and Exchange Commission's controversial use of in-house judges to enforce federal securities laws is about to undergo a major test. The 2nd U.S. Circuit Court of Appeals in New York on Wednesday…
Publisher: MarketWatch Author: Francine McKenna Luis Aguilar, a Democrat commissioner on the Securities and Exchange Commission whose term expired in June but whose successor has not yet been appointed, said in a statement on Thursday that the agency needs to enhance transparency…
Publisher: Reuters Author: Jonathan Stempel A federal appeals court on Monday handed the U.S. Securities and Exchange Commission a victory in its use of in-house enforcement proceedings, rejecting a challenge by a former chief executive of Assisted Living Concepts Inc.…
Publisher: Reuters Author: Jonathan Stempel A federal judge in Manhattan has handed the U.S. Securities and Exchange Commission a big defeat over its use of in-house judges, halting its enforcement case against a former Standard & Poor's executive because the…
Publisher: NY Times Author: Alexandra Stevenson The Justice Department asked the Supreme Court on Thursday to review a court ruling that sharply narrowed the definition of insider trading. Donald B. Verrilli Jr., the solicitor general, filed a petition with the Supreme Court…
Publisher: Reuters Author: Sarah Lynch Daniel Hawke, a 16-year veteran at the Securities and Exchange Commission who helped lead major high-profile enforcement cases against stock exchanges and brokerages, is planning to leave the agency in August, the SEC© announced on…
Publisher: Marketwatch Author: Francine McKenna An internecine battle between the so-called corporate and progressive wings of the Democratic Party has broken out over who will replace outgoing Securities and Exchange Commissioner Luis Aguilar, whose term expired in June. Groups aligned…
Publisher: Marketwatch Authors: Susan Pulliam & Telis Demos Securities regulators have launched a broad investigation into whether hedge funds and other investors are improperly selling hot private technology stocks amid a boom in the trading of such shares, people close…
Publisher: Reuters Author: Sarah Lynch The U.S. Securities and Exchange Commission is working to propose new rules to simplify the voting process for contested corporate board elections by permitting the use of so-called universal proxy ballots, SEC© Chair Mary Jo…
Publisher: Marketwatch The Securities and Exchange Commission must find replacements for two commissioners soon, but one candidate frequently mentioned in the media, Keir Gumbs from law firm Covington & Burling, advises publicly traded corporations on how to avoid political spending…