Tag: SEC

SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee and Expense-Related Information in Fund Advertisements
Christine Harbster October 26, 2022
SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules
Christine Harbster October 26, 2022
SEC Charges Mattel with Financial Misstatements and Former PwC Audit Partner with Improper Professional Conduct
Christine Harbster October 21, 2022
SEC Charges Two Canadian Software Engineers with Insider Trading
Christine Harbster September 30, 2022
Barclays Agrees to a $361 Million Settlement to Resolve SEC Charges Relating to Over-Issuances of Securities
Christine Harbster September 30, 2022
SEC Charges Man for Defrauding Investors out of Millions of Dollars by Posing as Hedge Fund Billionaire
Christine Harbster September 29, 2022
SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets
Christine Harbster September 29, 2022
Deloitte’s Chinese Affiliate to Pay $20 Million Penalty for Asking Audit Clients to Conduct Their Own Audit Work
Christine Harbster September 29, 2022
SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
Christine Harbster September 28, 2022