SEC

SEC

Displaying 10 out of 111 results

  1. To match Special Report SEC/INVESTIGATIONS

    SEC fines Juniper Networks more than US$11.7 million to settle internal control violations

    The U.S. Securities and Exchange Commission said on Thursday that it had fined and settled with California-based Juniper Networks, Inc. more than ...
  2. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door

    SEC fines Texas-based firm for offering illegal tokens, unregistered exchange

    The U.S. Securities and Exchange Commission said on Thursday it fined and settled charges against a Texas-based cryptocurrency firm and its ...
  3. To match Special Report SEC/INVESTIGATIONS

    SEC fines audit firm RSM US$950,000 to settle independence violation claim

    The U.S. Securities and Exchange Commission (SEC) said on Tuesday that it fined public accounting firm RSM US LLP US$950,000 to settle claims it ...
  4. Signage is seen on the lobby of the U.S. headquarters of Deutsche Bank in New York City

    US fines Deutsche Bank US$16 million to settle China, Russia corruption charges

    The U.S. Securities and Exchange Commission on Thursday said Deutsche Bank had agreed to pay US$16 million to settle charges that it violated the ...
  5. To match Special Report SEC/INVESTIGATIONS

    US SEC fines Russian firm for failing to disclose paid-for ICO reviews

    The U.S. Securities and Exchange Commission said on Tuesday that it has fined and settled charges against a Russia-based ratings firm for failure ...
  6. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door

    SEC fines Russian firm for failing to disclose paid-for ICO reviews

    The U.S. Securities and Exchange Commission said on Tuesday that it has fined and settled charges against a Russia-based ratings firm for failure ...
  7. FILE PHOTO: A Volkswagen logo is pictured in a production line at the Volkswagen plant in Wolfsburg

    US judge urges VW, SEC to resolve civil Dieselgate suit

    A federal judge in California on Friday urged the U.S. Securities and Exchange Commission and Volkswagen AG to resolve a civil suit stemming from ...
  8. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door

    US SEC to consider new guidance on investor use of proxy advisors

    The U.S. Securities and Exchange Commission (SEC) on Tuesday said it would hold a meeting next week on whether to publish new guidance regarding ...
  9. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door

    SEC proposes rule changes to ease company disclosure compliance

    The U.S. Securities and Exchange Commission on Thursday proposed changing the rules governing how publicly-traded companies disclose business, ...