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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 (109 - 120 of 206)
What is needed in the U.S. are more modern regulatory practices to protect Chinese public company investors from fraud accusations and fraud. Continue reading
Posted on April 20, 2011 2:30 PM
The GAO and SEC supply Congress with recommendations that could provide greater protection for consumers of life settlements and greater certainty for life settlement investors. Continue reading
Posted on March 9, 2011 1:15 PM
The mistake The New York Times makes in a story Thursday is that both lawmakers and shareholders really don't give a fig about Wall Street pay as long as they get the returns, or the contributions, they desire. Continue reading
Posted on March 3, 2011 11:58 AM
With SEC and CFTC funding in the balance, both sides say they don't want a budget crisis. But brinkmanship has a funny way of getting out of hand. Continue reading
Posted on February 18, 2011 11:28 AM
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
With investors getting in on Facebook and other private company stock thanks to SecondMarket and others, the differences between private and public fade. Continue reading
Posted on February 15, 2011 11:04 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
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
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Goldman, Sachs & Co. veteran Tracy Caliendo will join Bank of America Merrill Lynch in September as a managing director and head of Americas equity hedge fund services. For other updates launch today's Movers & shakers slideshow.
When will companies stop refinancing and jump back into M&A? More video
