All Securities and Exchange Commission articles – Page 66
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Blog
Newmont Mining FCPA probe ends in SEC declination
Gold mining company Newmont Mining said this week in a securities filing that the Securities and Exchange Commission does not plan to bring an enforcement action in connection with a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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Blog
SEC awards $4M to whistleblower
The SEC this week announced that it has awarded nearly $4 million to a whistleblower who tipped off the agency about serious misconduct and provided additional assistance during the ensuing investigation.
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Article
Under new leadership, which way will the SEC go?
Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
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Article
SEC renews its offensive against ‘fake news’
Fake news, in the eyes of the SEC, isn’t just a problem during election year. Over several decades, stock price manipulations have been predicated on rumors and hoaxes.
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Raymond James to pay $150M to resolve fraud scheme
Raymond James Financial has reached a $150 million settlement to resolve all investor claims that the firm stole and misused millions of dollars raised through investments solicited under the federal EB-5 visa program.
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Blog
SEC backs away from conflict minerals rule enforcement
With the May 31 deadline for conflict minerals disclosures fast approaching, a court ruling has prompted the SEC to ease its enforcement posture regarding those requirements while it rethinks the rule.
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Bill would ease SEC requirements on employee stock
The U.S. House of Representatives has voted in favor of a bill that would reduce SEC disclosure requirements for certain companies that offer employees stock options.
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Bipartisan bill would increase SEC penalties
A bipartisan bill making the rounds in Congress seeks to strengthen the SEC’s enforcement authority with increased fines.
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Clayton's SEC nomination advances to Senate
With majority approval by members of the Senate Banking Committee, President Donald J. Trump’s nomination to head the SEC, Jay Clayton, now heads to a confirmation vote before the full Senate.
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Blog
Kara Brockmeyer, Chief of FCPA Unit, to leave SEC
Kara Brockmeyer, Chief of the Enforcement Division’s Foreign Corrupt Practices Act Unit, is planning to leave the agency later this month, the Securities and Exchange Commission announced.
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Article
The compliance side of the circuit split on whistleblower protections
An ongoing legal dispute over how far whistleblower protections extend beyond Dodd-Frank provisions highlights that best practices are already a few steps ahead of the law.
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Article
Love it or hate it, opinions abound over SEC pay ratio rule
As the public comment period expires on the SEC’s controversial pay ratio rule, we review the commentary, both pro and con.
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SEC adopts T+2 settlement cycle for securities transactions
The SEC has approved reducing the settlement cycle for most broker-dealer securities transactions by one day. It will also evaluate the possibility of end-of-the-day settlement cycles.
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Blog
Dems demand end to pay-ratio rule delay
Senate Democrats are demanding that the SEC stop delaying implementation of a controversial rule requiring that CEO pay be disclosed as a comparative ratio to their median employee.
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Article
New leadership, new priorities for FINRA
A new year has meant some big changes for the Financial Industry Regulatory Authority, including several recent appointments, some new initiatives, and an update to the agency’s enforcement priorities.
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Blog
Senate Banking Committee schedules Clayton hearing
President Donald J. Trump’s pick to serve as SEC chairman, Jay Clayton, will testify before the Senate Banking Committee on March 23, a prelude to confirmation by the full Senate.
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Blog
SEC issues new guidance on ‘robo-advisers’
The Securities and Exchange Commission this week published information and guidance for investors and the financial services industry on the fast-growing use of robo-advisers. Jaclyn Jaeger has more.
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Article
The FCPA is unlikely to vanish under President Trump
Despite rhetoric to the contrary, FCPA enforcement during the Trump administration will not die off. If anything, it might actually increase. Jaclyn Jaeger explores.
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Blog
SEC, NASAA sign info-sharing agreement for crowdfunding
The North American Securities Administrators Association, representing the interests of state securities agencies, and the Securities and Exchange Commission signed an information-sharing agreement as new rules to facilitate intrastate crowd-funding offerings and regional offerings take effect. Jaclyn Jaeger has more.
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Blog
Panasonic discloses FCPA probe
Panasonic, a Japanese multinational electronics company, today issued a statement disclosing that it’s being investigated for potential violations of the Foreign Corrupt Practices Act. Jaclyn Jaeger reports.