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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 (157 - 168 of 172)
U.S. enforcement agencies should help U.S. companies compete by revamping their procedures to offer prompt and clear guidance on complex international transactions. Continue reading
Posted on August 4, 2010 1:08 PM
Goldman has agreed to settle for $550 million with the SEC for charges that the bank had misled investors in a mortgage derivatives deal done at the height of the subprime boom. Continue reading
Posted on July 16, 2010 10:58 AM
A new SEC rule requires public companies to improve their disclosure on climate change risks. Continue reading
Posted on June 21, 2010 1:33 PM
Traders question whether new SEC circuit breakers for individual stocks are too sensitive. Continue reading
Posted on June 4, 2010 11:56 AM
Is rescission available based on the use of unregistered brokers? Continue reading
Posted on May 10, 2010 9:55 AM
Investors are focusing on precautions in their investment habits and practices and devoting significantly more time and resources to them. Continue reading
Posted on March 5, 2010 1:10 PM
Here is the latest roundup of financial institutions rumored and reported to be hiring. Continue reading
Posted on March 3, 2010 10:26 AM
An IPO is a transformational event for a company, its management, employees and promoters, and the decision to go public is one that needs to be carefully weighed. Continue reading
Posted on December 9, 2009 1:32 PM
Real estate sponsors that might wish to undertake an IPO will need to consider a wide variety of issues and begin to take action long before the first filing with the SEC. Continue reading
Posted on November 24, 2009 1:55 PM
Growth companies and their PE sponsors should be wary of the pitfalls that arise when they layer on tiers of preferred stock. Continue reading
Posted on November 19, 2009 1:12 PM
Anonymous trading platforms know as dark pools face the SEC's scrutiny because they create an unfair advantage for traders. Needless to say, Wall Street doesn't see it that way. Continue reading
Posted on October 30, 2009 11:44 AM
Here are some other reasons why the SEC did not catch Bernard Madoff. Continue reading
Posted on October 16, 2009 10:44 AM
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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
