Posts Tagged ‘SEC’

Deputy Chief Economist Stewart Mayhew to Leave SEC After Eight Years of Service

{ Posted on Aug 13 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission announced today that Deputy Chief Economist Stewart Mayhew is leaving the agency after eight years of public service. Read More »

SEC, CFTC Seeking Public Comment on Definitions and Regulation of Mixed Swaps

{ Posted on Aug 13 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission and the Commodity Futures Trading Commission today published a joint advance notice of proposed rulemaking that requests public comment to assist the agencies in further defining certain key terms and prescribing regulations regarding "mixed swaps" ...Read More »

SEC, CFTC to Host August 20 Roundtable on Clearing and Listing of Swaps and Security-Based Swaps

{ Posted on Aug 13 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission and Commodity Futures Trading Commission staffs will hold a public roundtable on August 20 to discuss issues related to governance and conflicts of interest in the clearing and listing of swaps and security-based swaps. Read More »

Securities Regulators Publish Updated Best Practices for Firms Serving Senior Investors

{ Posted on Aug 13 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and North American Securities Administrators Association (NASAA) today updated a joint report that outlines practices being used by financial services firms to strengthen their policies and procedures for serving senior ...Read More »

SEC Charges Seattle-Area Company and Former CFO With Phony Accounting of Infomercial Sales

{ Posted on Aug 09 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission today charged a Seattle-area skin care retailer and its former chief financial officer with fraudulently boosting earnings by reporting sales of anti-aging products promoted through Home Shopping Network infomercials while the products still sat unsold ...Read More »

Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda/Participants for August 11 Meeting

{ Posted on Aug 06 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today announced the agenda and participant list for the third meeting of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues on August 11. Read More »

SEC Charges Two Global Tobacco Companies With Bribery

{ Posted on Aug 06 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission today charged two global tobacco companies with violations of the Foreign Corrupt Practices Act (FCPA) for paying more than $5 million in bribes to government officials in Thailand and other countries to illicitly obtain tobacco ...Read More »

Office of the Chief Accountant Names Academic Fellows

{ Posted on Aug 05 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission's Office of the Chief Accountant today announced the selection of Shawn Davis and Saurav Dutta as Academic Accounting Fellows for one-year terms beginning this summer. Read More »

Shira Pavis Minton Named SEC Ethics Counsel

{ Posted on Aug 05 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission announced today that Shira Pavis Minton has been named as the Commission's Ethics Counsel in the Office of the General Counsel. Read More »

SEC Charges Two Individuals for Roles in Innospec FCPA Scheme

{ Posted on Aug 05 2010 by SEC.gov Updates: Press Releases }
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The Securities and Exchange Commission today charged a former business director at Innospec, Inc., and the company's third-party agent in Iraq with violating the Foreign Corrupt Practices Act (FCPA) by engaging in widespread bribery of Iraqi government officials to land ...Read More »
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