Sec Gears Up For Financial Overhaul

Even before Congress's financial overhaul bill becomes law, the SEC is on a tight deadline to write more than 90 new rules and complete nearly 20 studies.

Topics:  congress   sec   financial overhaul   
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    The case was brought by Raymond Lucia, a financial adviser who was fined and banished from ... After he sided with Lucia in a brief filed last November, the SEC swiftly changed gears and appointed its ...
    06/20/2018 - 1:00 pm | View Link
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    The company is now reporting that it has shifted gears and no longer seeks a 510(k ... results of operations, or financial condition. We reviewed the trading action during that period and noticed clea...
    04/24/2018 - 3:19 am | View Link
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    Magoon and other analysts expect a much stronger performance from Alibaba in the December-quarter, as the company gears up for the 24-hour "Singles ... Its finance arm, Ant Financial, also demonstrate...
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  • SEC Seeks Increased Scrutiny Of High-Frequency Trading 'Flash Boys'
    The Securities and Exchange Commission proposed new rules this week that would close a long-standing loophole, forcing high-speed traders to register openly with a single financial regulator ... greas...
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  • SEC: We're Increasing Scrutiny On The Pharmaceutical Industry
    In 2013 and 2014, the SEC was focused on the financial industry, but in 2015 ... due to the company's willingness to correct the issue. Switching gears, the Commissioner cites a case in which the CEO ...
    03/13/2015 - 7:52 am | View Link
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    SEC Filings Suppliers; Supplier FAQ; Supplier Gateway; Quality Policy 12-01; Contact Us; Terms and Conditions; Glossary ©Copyright 2018 Woodward, Inc
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  • Chapter 248
    Sec. 14-212c. Fines doubled for failure to yield right-of-way to a bicyclist. A surcharge shall be imposed equivalent to one hundred per cent of the fine established or imposed for a violation of subsection (e) of section 14-242, section 14-245, 14-246a, 14-247 or 14-247a for such violation when the driver of a vehicle fails to grant or yield the right-of-way to a person riding a bicycle, as ...
    08/13/2018 - 3:22 pm | View Website
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    Read the latest from Financial Planning magazine including stories on RIAs, retirement planning, practice management, investments & insights from industry experts.
    08/11/2018 - 8:29 am | View Website
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    08/1/2018 - 10:43 am | View Website
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