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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 206)
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
Policymakers should question whether the hidden risks and practical problems of crowdfunding overwhelm its benefits Continue reading
Posted on March 30, 2012 1:49 PM
Many large PE shops are diversifying their platforms by offering new, complementary products as fixed-income firms diversify into PE. Continue reading
Posted on March 30, 2012 12:00 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
