All Securities and Exchange Commission articles – Page 64
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Blog
SEC releases first fee rate advisory for FY 2018
The SEC has announced the new rate for fees that public companies and other issuers pay to register their securities. The rate, for fiscal year 2018, is $124.50 per million dollars.
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Blog
Killing the SEC and other plans to redraft regulatory agencies
The Competitive Enterprise Institute has responded to a White House Executive Order with new proposals to redraft and refocus regulatory agencies. Eliminating the SEC and FDIC are among the not-so-modest proposals.
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Blog
Hedge fund adviser charged with inadequate insider trading controls
A hedge fund advisory firm has agreed to pay more than $4.6 million to settle SEC charges that it had inadequate policies and procedures to prevent the misuse of inside information, including information about confidential government decisions.
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New SEC chair gets new demands for political contribution disclosures
With a new SEC chairman, a new push is underway to have a fresh consideration of a disclosure rule covering political contributions made by public companies.
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Teradata discloses FCPA probe
Teradata, an IT service management company, disclosed in its most recent quarterly filing that it has, through internal processes, discovered potential violations of the Foreign Corrupt Practices Act concerning one of its international subsidiaries doing business in Turkey.
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Blog
Investment Management Director David Grim to Leave SEC
David Grim, director of the Division of Investment Management at the Securities and Exchange Commission, will leave the agency in September after more than 20 years of public service.
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Waters’ bill seeks to improve SEC waiver process
Congresswoman Maxine Waters has introduced a bill intended to ensure a fair and public process for waiving automatic disqualification provisions. The issue of waivers is a longstanding one for the Commission.
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Article
SEC’s consolidated audit trail at risk again, this time by funding
Developed as a database to monitor markets and prevent flash crashes, the SEC’s consolidated audit trail has a big, new roadblock.
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Blog
Net1: Department of Justice closed FCPA probe
Net1 UEPS Technologies, a Johannesburg, South Africa-based provider of alternative payment systems, last week received a letter from the Criminal Division's Fraud Section of the U.S. Department of Justice advising the company that it has closed its investigation concerning possible violations of the Foreign Corrupt Practices Act.
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SEC awards more than $1.7M to whistleblower
The SEC last week announced a whistleblower award of more than $1.7 million to a company insider who it said provided the agency with critical information to help stop a fraud that would have otherwise been difficult to detect.
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Halliburton settles FCPA case for $29.2M
Oil field services giant Halliburton today reached a $29.2 million settlement with the SEC over charges that it violated the books and records and internal accounting controls provisions of the Foreign Corrupt Practices Act concerning payments tied to Angola.
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SEC Investigative Report: Digital assets are securities
The Securities and Exchange Commission issued an investigative report this week cautioning market participants that offers and sales of digital assets by “virtual” organizations are subject to the requirements of the federal securities laws.
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Newmont Mining FCPA case ends in declination
Newmont Mining said in a quarterly filing this week that it will not be facing an enforcement action from the Department of Justice regarding a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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Blog
SEC awards $2.5 million to whistleblower
The Securities and Exchange Commission this week announced an award of nearly $2.5 million to an employee of a domestic government agency whose whistleblower tip helped launch an SEC investigation and whose continued assistance enabled the SEC to address a company's misconduct.
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Blog
Trump nominates Peirce to SEC, echoing Obama in 2014
President Donald Trump has nominated Hester Peirce to serve on the Securities and Exchange Commission for the remainder of a five-year term. She was initially—and unsuccessfully—nominated by President Obama in 2014.
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Article
SEC focus on creating IPOs has hurdles to overcome
The SEC, through its new chairman, Jay Clayton, is looking to spark capital formation and new public offerings. Are its incentives enough?
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Blog
SEC’s Clayton outlines his agenda as chairman
In his first public speech as chairman, Jay Clayton outlined his priorities for the SEC. Among the topics he will focus on, cyber-security, capital formation, and assessing the compliance costs of rulemaking.
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Article
New leadership, similar enforcement agenda
Amid plenty of public turmoil in the Trump administration’s early days, the enforcement agendas of both the DoJ and the SEC remain fundamentally unchanged.
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Blog
SEC, CFTC make their pitch for boosted budgets
As new and emerging technology alters the risk landscape, increased budgets for the SEC and CFTC will help them fight fire with fire, agency heads said at a recent budget hearing.
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ArticleTrump’s regulatory report card thus far: ‘Incomplete’
There is a lot of talk about regulatory retreats under the Trump Administration. Thus far, however, it has taken a more cautious approach than has been expected.