SEC

SEC

Displaying 10 out of 79 results

  1. FILE PHOTO: To match Special Report SEC/INVESTIGATIONS

    Corporate groups cheer, investors cry foul as US tightens shareholder rights rules

    The U.S. Securities and Exchange Commission (SEC) voted 3-2 on Wednesday to make it tougher for shareholders to push companies on issues such as ...
  2. FILE PHOTO: To match Special Report SEC/INVESTIGATIONS

    SEC to vote on expanded tipster program to consider more bounties, but with heightened conditions

    The U.S. the Securities and Exchange Commission on Wednesday will finalize new conditions for its whistleblower bounty program which will result ...
  3. FILE PHOTO: To match Special Report SEC/INVESTIGATIONS

    Exclusive: US regulator to relax proposed whistleblower caps, tighter tip deadlines - sources

    The U.S. securities regulator is poised to walk back a proposal to impose discretionary caps on whistleblower awards and tighten deadlines for ...
  4. The US Securities and Exchange Commission

    Investors expect reprieve on contentious US shareholder voting rights rule

    US investors expect the securities regulator to drop a contentious provision in a new rule that would make it tougher for them to push companies ...
  5. 2018 Billboard Music Awards – Arrivals – Las Vegas

    Rapper T.I. in US$75,000 US settlement over cryptocurrency offering

    Grammy award-winning rapper Clifford Harris, known as T.I., agreed to pay a U.S. regulator US$75,000 to settle charges that he broke securities ...
  6. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door

    US SEC adopts rule allowing more investors access to private companies

    The U.S. Securities and Exchange Commission (SEC) on Wednesday voted to adopt changes to its decades-old definition of a professional investor in ...
  7. The Nasdaq logo is displayed at the Nasdaq Market site in New York

    Exclusive: Nasdaq files with SEC for IPO alternative to raise funds

    Exchange operator Nasdaq Inc has filed with U.S. regulators to change its rules to enable companies that debut on the stock market through a ...
  8. FILE PHOTO: A logo of German carmaker Volkswagen is seen on a car parked on a street in Paris

    US judge narrows SEC lawsuit against VW over diesel emissions

    A US judge on Thursday dismissed portions of a US Securities and Exchange Commission lawsuit against Volkswagen AG related to the German ...
  9. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door

    United States Oil Fund gets Wells notice from SEC

    The United States Oil Fund LP, the country's largest crude exchange-traded fund, said on Wednesday it received a Wells notice from the U.S.
  10. FILE PHOTO: SEC

    Interactive Brokers to pay US$38 million in series of regulatory settlements: SEC

    Interactive Brokers LLC will pay US$38 million to U.S. regulators to resolve charges the firm repeatedly failed to file key reports and to settle ...