All Rules & Proposals articles – Page 62
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Blog
Study: Paying Firms Get First Look at SEC’s EDGAR Filings
Oct. 29—A new study finds that a select group of professional investors gets an advance look at soon-to-be-public filings with the Securities and Exchange Commission. Researchers found that a small group of subscribers who pay SEC-selected vendors for data feeds, among them hedge funds and high-frequency traders, receive access ...
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Blog
SEC Updates Financial Reporting Manual
The SEC has updated its Financial Reporting Manual, a guidebook intended to help SEC staff review compliance with reporting and disclosure rules. The update addresses transactions that cause a foreign private issuer to cease being a shell company, “backdoor” listings by foreign companies, the treatment of predecessor financial statements, and ...
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Blog
Regulators Jointly Approve New Risk Retention Rules
Image: Title: Regulators Jointly Approve NewOct. 23—The SEC has adopted final rules for the asset-backed securities market that will require securitizers to retain no less than five percent of the credit risk of the assets they securitize. The rule was adopted one day after the Federal Deposit Insurance Corporation, Federal ...
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Blog
Fed Official Warns Banks: Fix Culture Problem or be Downsized
Two Federal Reserve officials issued stern warnings regarding bank compliance efforts last week. William Dudley, president of the Federal Reserve Bank of New York, said that if financial institutions don’t fix their culture problem, they risk being broken apart. Meanwhile, Fed Governor Daniel Tarullo blasted banks that take a “check ...
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ArticleSEC Searching for Rules Violations in Piles of Data.
One of the more significant trends in enforcement actions by the Securities and Exchange Commission recently may not be immediately obvious.Last month, an enforcement sweep resulted in charges and fines against 28 officers, directors, and other shareholders for failing to promptly report required information about their holdings and transactions in ...
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