Category: Regulatory

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Nov. 7. The meeting will begin at 9:30 a.m. Eastern Time in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and… Original Source

SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme Original Source

FDIC and Federal Reserve request information on use and impact of CAMELS ratings Original Source

The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review procedure for applications under the Investment Company Act that are substantially identical to recent precedent, as well… Original Source

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Universal Resources (f/k/a Global Immune Technologies Inc.) Original Source

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Gyrotron Technology, Inc. Original Source

SEC Obtains Final Judgment Against Former Executive Charged with Lying to Auditors Original Source

The Securities and Exchange Commission and Morehouse College will co-host a panel discussion on strategies to attract investment capital to minority businesses from 4 – 7 p.m. ET on Thursday, Oct. 24 during homecoming week. The special event,… Original Source

SEC Charges Microcap Company and Two Former Chief Executive Officers with Securities Violations Original Source

Federal Reserve Board releases results of survey of senior financial officers at banks about their strategies and practices for managing reserve balances Original Source

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions Original Source

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The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that trade… Original Source

Federal Reserve Board issues enforcement action with former employee of Southern Bancorp Bank Original Source

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions Original Source

Federal financial regulatory agencies seek comment on proposed interagency policy statement on allowances for credit losses and proposed interagency guidance on credit risk review systems Original Source

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Lithium Exploration Group, Inc. Original Source

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