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You have executed a tag search on The Deal Pipeline. Below, you will find a comprehensive list of stories tagged "Securities and Exchange Commission."
12 result(s) displayed (145 - 156 of 172)
Watchdog groups oppose a plan to make whistleblowers report violations to their employers before going to the feds. Continue reading
Posted on February 18, 2011 11:10 AM
What does a hedge fund adviser need to do if it now has to register with the SEC? Continue reading
Posted on February 14, 2011 9:17 AM
The SEC gets hit by suggestions as it tries to define exemptions to registrations for fund advisers. What is a venture capitalist anyway? Continue reading
Posted on February 4, 2011 1:08 PM
It appears every company that is sanctioned by the SEC will potentially be paying to finance the whistleblower fund, even if there was no whistleblower in its case. Continue reading
Posted on January 26, 2011 1:13 PM
The SEC's inspector general is the latest official to take a hard look at the government's cozy relationship with Citigroup. Continue reading
Posted on January 21, 2011 11:58 AM
Dodd-Frank decided to study whether secondary players in securities suits could be sued. The Supreme Court may decide before that. Continue reading
Posted on January 21, 2011 11:46 AM
As regulators write new derivatives rules, many fear risks are being overlooked by regulators with technology gaps and complex mandates. Continue reading
Posted on December 10, 2010 12:55 PM
As its case law evolves (slowly), its perch remains intact as an arbiter of corporate jurisprudence. Continue reading
Posted on December 10, 2010 12:51 PM
A Federal Reserve report gives a boost to new CLOs, but will the SEC and FDIC follow? Continue reading
Posted on November 12, 2010 12:44 PM
Companies going public face an increasing array of thorny compensation issues. Continue reading
Posted on November 12, 2010 12:40 PM
New proxy access rules will empower institutional shareholders and special interests to directly influence issuers at shareholder meetings without incurring the high costs historically associated with shareholder activism. Continue reading
Posted on September 30, 2010 1:13 PM
A section of the California Corporation Code provides rescission rights to buyers who purchase securities from or through unregistered broker-dealers or unlicensed intermediaries who are not just deal finders. Continue reading
Posted on August 25, 2010 12:53 PM
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Ken deRegt will retire as head of fixed income at Morgan Stanley and be replaced by Michael Heaney and Robert Rooney. For other updates launch today's Movers & shakers slideshow.
Apax Partners offers $1.1 billion for Rue21, the same teenage fashion chain it took public in 2009. More video
