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You have executed a tag search on The Deal Pipeline. Below, you will find a comprehensive list of stories tagged "SEC."
12 result(s) displayed (37 - 48 of 208)
Despite the defeat of shareholder initiatives directed at Wal-Mart Stores, a strong showing among the company's outside investors demonstrates the growing strength of the shareholder rights movement Continue reading
Posted on June 6, 2012 9:48 AM
The reporting form for private fund advisers was mandated by the Dodd-Frank Act to help regulators determine systemic risk. Continue reading
Posted on May 25, 2012 12:30 PM
FINRA, the SEC, the Senate Banking panel and at least one attorney general are all examining the IPO. Continue reading
Posted on May 24, 2012 4:29 PM
The Texas oil and gas explorer will pay $1 billion in cash, pre-empting the target's planned IPO Continue reading
Posted on May 14, 2012 2:17 PM
Recent U.K. Financial Services Authority enforcement action regarding Greenlight Capital highlights key differences between the SEC and FSA Continue reading
Posted on May 9, 2012 1:52 PM
The two rules that regulate the use of non-GAAP financial measures are Regulation G and Item 10(e) of Regulation S-K Continue reading
Posted on May 7, 2012 3:00 PM
Holman Jenkins in The Wall Street Journal wades into a defense of Wal-Mart, the retail giant that, after a long piece in The New York Times Sunday, seems to be up to its neck in a bribery scandal and cover-up in Mexico. Continue reading
Posted on April 25, 2012 1:33 PM
Now that examination is being coordinated with enforcement, the SEC should reform the notice it gives to examined firms Continue reading
Posted on April 19, 2012 1:19 PM
The provision strengthens the SEC against third parties who enable securities violations. Continue reading
Posted on April 13, 2012 3:29 PM
Regulatory compliance is expensive and time consuming, but this to-do list will help general partners mitigate some of the costs. Continue reading
Posted on April 13, 2012 3:29 PM
The solar power company cites market conditions for the cancellation. Continue reading
Posted on April 12, 2012 12:49 PM
The payment to TPG and Warburg could portend an IPO later this year Continue reading
Posted on April 2, 2012 3:41 PM
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Dechert LLP expanded its corporate practice in Europe, hiring partner Matthieu Grollemund in Paris. For other updates launch today's Movers & shakers slideshow.
We span the globe from Europe to Australia, looking at asset sales, a bank making its way in a foreign land and a frothy junk bond market. More video
