Tag: Securities and Exchange Commission (SEC)
Under Armour to pay $9m to settle SEC revenue probe for...
Sports apparel company Under Armour has settled with the Securities and Exchange Commission (SEC) and agreed to pay $9m in fines related to misleading its revenue growth to investors from the third quarter of 2015 through the fourth quarter of 2016.
SEC warns against misleading projections by companies going public via SPAC
US regulator warned that companies going public through special purpose acquisition companies (SPAC) deals must refrain from publishing misleading statements about their potential growth.
Deutsche Bank pays $120m to settle SEC corruption charges
Deutsche Bank has agreed to pay $120m in order to settle charges of having violated the Foreign Corrupt Practices Act.
Five whistleblowers awarded $3m in total from the SEC
The Securities and Exchange Commission to award five whistleblowers $3m in total for information provided in three different enforcement actions.
SEC offers EU traders clearer path to register in the US
The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.
SEC votes to simplify financial disclosure requirements
A top financial markets watchdog has voted to adopt amendments that will modernise, simplify and enhance certain financial disclosure requirements in Regulation S-K.
The SEC introduces new rule to make it easier for foreign...
The Securities and Exchange Commission (SEC) has published a notice of a substituted compliance application by Germany’s top financial regulator.
SEC updates reporting rules for public companies
The Securities and Exchange Commission (SEC) has voted to update the description of business, legal proceedings and risk factor disclosures that registrants are required to make pursuant to Regulation S-K.
SEC opens up private capital market for more people
The US Securities and Exchange Commission (SEC) has voted to amend its definition of accredited investors, meaning more people will soon be eligible to enter the private capital market.
Akemona becomes member of FINRA
Digital securities company Akemona has registered with the US Securities and Exchange Commission (SEC) and is now a member of the Financial Industry Regulatory Authority (FINRA).
