SEC

SEC

Displaying 10 out of 72 results

  1. FILE PHOTO: App-based gig workers hold demonstration outside Los Angeles City Hall to urge voters t

    US tech firms can compensate gig-workers with equity under SEC proposal

    The U.S. securities regulator on Tuesday proposed a pilot program to allow tech companies like Uber and Lyft to pay gig workers up to 15per cent ...
  2. FILE PHOTO: U.S. Securities and Exchange Commission Chairman Jay Clayton, testifies before a House

    US SEC chief Clayton to call it quits at the end of 2020

    U.S. Securities and Exchange Commission Chairman Jay Clayton will step down from his position at the end of the year, the Wall Street regulator ...
  3. FILE PHOTO: Democratic 2020 U.S. presidential candidate Biden walks past solar panels in Plymouth

    Analysis: Sustainable investing advocates hope for friendlier US rules if Biden wins

    Progressive groups and investors hope Democratic presidential nominee Joe Biden can win on Tuesday and quickly end Trump administration rules that ...
  4. FILE PHOTO: To match Special Report SEC/INVESTIGATIONS

    Goldman Sachs expects rejection of SEC plan to raise 13F reporting threshold

    A plan by the Securities and Exchange Commission (SEC) to lift the reporting threshold for a minimum of assets under management from US$100 ...
  5. FILE PHOTO: Chairman Clayton participates in a U.S Securities and Exchange Commission open meeting

    SEC chief says agency brought 700 enforcement actions in fiscal 2020, 'significant' amount during telework period

    The head of the U.S. Securities and Exchange Commission (SEC) said on Thursday that the agency has brought 700 enforcement actions in the 2020 ...
  6. The US Securities and Exchange Commission logo

    GE receives notice from US regulator of possible civil action

    General Electric said on Tuesday it received a Wells notice, saying that the U.S. Securities and Exchange Commission staff is considering ...
  7. FILE PHOTO: To match Special Report SEC/INVESTIGATIONS

    HP to pay US$6 million fine to settle SEC charges

    HP Inc agreed to pay a US$6 million fine to settle U.S. Securities and Exchange Commission charges it misled investors by failing to disclose the ...
  8. FILE PHOTO: A J.P. Morgan logo is seen in New York City

    JPMorgan broker subsidiary admits to manipulative trading in US Treasuries, agrees to pay US$35 million in SEC order

    The U.S. Securities and Exchange Commission (SEC) on Tuesday said it has charged a broker-dealer subsidiary of JPMorgan Chase & Co. for ...
  9. FILE PHOTO: FILE PHOTO: A Fiat Chrysler Automobiles sign at the U.S. headquarters in Auburn Hills,

    Fiat agrees to pay US$9.5 million penalty for misleading on emissions audit - US SEC

    Fiat Chrysler will US$9.5 million civil penalty to settle allegations it misled investors by not disclosing that it conducted only a limited ...