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The Trading Mesh

'division of enforcement' related content

Editorial content matching 'division of enforcement'
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News: Testimony On “H.R. 1148, The Stop Trading On Congressional Knowledge Act” By Robert Khuzami, Director, Division Of Enforcement, U.S. Securities And Exchange Commission - Before The Committee On Financial Services Of The U.S. House Of Representatives

2664 days ago,(2011/12/06) - News Articles

News: Remarks Before The 2011 AICPA National Conference On Current SEC And PCAOB Developments By Howard Scheck, Chief Accountant, Division Of Enforcement, U.S. Securities And Exchange Commission

2650 days ago,(2011/12/20) - News Articles

News: News Conference Remarks By Robert Khuzami, Director Of The SEC’s Division of Enforcement

2619 days ago,(2012/01/20) - News Articles

News: Speech By SEC Staff: Remarks At Joint News Conference To Announce RMBS Working Group - Robert Khuzami Director Of The SEC’s Division Of Enforcement

2612 days ago,(2012/01/27) - News Articles

News: Speech By SEC Staff: Remarks On News Conference Call About Case Against Credit Suisse Investment Bankers By Robert Khuzami, Director Of The SEC’s Division of Enforcement, U.S. Securities And Exchange Commission

2605 days ago,(2012/02/02) - News Articles

News: Public Statement By SEC Staff: Commission Credits Individual Under Cooperation Initiative By Robert Khuzami, Director, Division Of Enforcement

2560 days ago,(2012/03/19) - News Articles

News: Testimony on "Examining The Settlement Practices Of U.S. Financial Regulators" By Robert Khuzami SEC Director, Division Of Enforcement, Before The Committee On Financial Services, U.S. House Of Representatives

2501 days ago,(2012/05/17) - News Articles

News: First Derivatives Launch of Swap Execution Facility Initiative & Appointment of Chief Compliance Officer

2196 days ago,(2013/03/18) - First Derivatives

News: Testimony Before The U.S. House Committee On Financial Services - CFTC Chairman Gary Gensler

2468 days ago,(2012/06/19) - News Articles

News: Risk Assessment At The U.S. Securities & Exchange Commission By Craig M. Lewis - Chief Economist And Director, Division Of Risk, Strategy, And Financial Innovation, U.S. Securities & Exchange Commission, Risk Minds USA Conference

2481 days ago,(2012/06/06) - News Articles

News: OppenheimerFunds To Pay $35 Million To Settle SEC Charges For Misleading Statements During Financial Crisis

2481 days ago,(2012/06/06) - News Articles

News: CFTC Files A General Creditor Claim In The Liquidation Of MF Global

2486 days ago,(2012/06/01) - News Articles

News: Testimony Before The US Senate Committee On Banking, Housing And Urban Affairs, Washington, DC, CFTC Chairman Gary Gensler

2496 days ago,(2012/05/22) - News Articles

News: SEC Charges U.S. Perpetrators In $35 Million International Boiler Room Scheme

2502 days ago,(2012/05/16) - News Articles

News: SEC Charges Former Detroit Officials And Investment Adviser To City Pension Funds In Influence Peddling Scheme

2509 days ago,(2012/05/09) - News Articles

News: SEC Charges Deloitte & Touche In Shanghai With Violating U.S. Securities Laws In Refusal To Produce Documents

2509 days ago,(2012/05/09) - News Articles

News: SEC Charges UBS Puerto Rico And Two Executives With Defrauding Fund Customers

2517 days ago,(2012/05/01) - News Articles

News: SEC Charges Former Morgan Stanley Executive With FCPA Violations And Investment Adviser Fraud

2523 days ago,(2012/04/25) - News Articles

News: Testimony On “SEC Oversight” By Chairman Mary L. Schapiro U.S. Securities And Exchange Commission - Before The Capital Markets And Government Sponsored Enterprises Subcommittee And Financial Institution And Consumer Credit Subcommittee Of The U.S. House Of Representatives Committee On Financial Services

2523 days ago,(2012/04/25) - News Articles

News: Egan-Jones Ratings Co. And Sean Egan Charged With Making Material Misrepresentations To SEC

2524 days ago,(2012/04/24) - News Articles

News: Testimony Before The United States Senate Committee On Banking, Housing, And Urban Affairs, By CFTC Commissioner Jill E. Sommers

2524 days ago,(2012/04/24) - News Articles

News: SEC Charges Ox Trading, Optionsxpress, And Former CFO With Registration Violations

2529 days ago,(2012/04/19) - News Articles

News: SEC Charges Senior Executives At California-Based Firm In Stock Lending Scheme

2564 days ago,(2012/03/15) - News Articles

News: SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers In Midst Of Financial Crisis

2566 days ago,(2012/03/13) - News Articles

News: CFTC Charges MBF Clearing Corp. With Violations Of Customer Fund Segregation Requirements

2566 days ago,(2012/03/13) - News Articles

News: SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged With Defrauding Investors

2573 days ago,(2012/03/06) - News Articles

News: SEC Charges China-Based Executives With Securities Fraud

2586 days ago,(2012/02/22) - News Articles

News: SEC Charges Oregon-Based Expert Consulting Firm And Owner With Insider Trading In Technology Sector

2591 days ago,(2012/02/17) - News Articles

News: SEC Charges Former Credit Suisse Investment Bankers In Subprime Bond Pricing Scheme During Credit Crisis

2607 days ago,(2012/02/01) - News Articles

News: “Where Are We? And Where Should We Be? Thoughts On MF Global And High Frequency Trading” - Address By CFTC Commissioner Scott D. O’Malia At The Center On Financial Services Law Of New York Law School

2608 days ago,(2012/01/31) - News Articles

News: SEC Charges Brothers With Short Selling Violations

2608 days ago,(2012/01/31) - News Articles

News: SEC Charges Former Executives And Accountants With Fraud At British Subsidiary Of Medical Devices Company - SEC Obtains Settlements With CEO And CFO To Clawback Bonuses Under Sarbanes-Oxley Section 304

2609 days ago,(2012/01/30) - News Articles

News: SEC Charges Illinois-Based Adviser In Social Media Scam - Agency Issues Alerts On Social Media Risks For Investors And Firms

2635 days ago,(2012/01/04) - News Articles

News: SEC Charges GE Funding Capital Market Services With Fraud Involving Municipal Bond Proceeds - Firm Agrees To Pay $70 Million In Settlement With SEC And Others

2647 days ago,(2011/12/23) - News Articles

News: SEC Charges California Company, Co-CEOs, And Attorney In Series Of Fraudulent Schemes Pumping Company Stock

2650 days ago,(2011/12/20) - News Articles

News: SEC beefs up quantitative capabilities [Fierce Finance]

2651 days ago,(2011/12/19) - High Frequency Trading Review

News: SEC Charges Daniel “Rudy” Ruettiger And 12 Others In Scheme To Pump Stock In Sports Drink Company

2654 days ago,(2011/12/16) - News Articles

News: CFTC Orders Merrill Lynch Commodities, Inc. To Pay $350,000 Civil Penalty For Violating Cotton Futures Speculative Position Limits

2663 days ago,(2011/12/07) - News Articles

News: SEC Halts Prime Bank Scheme By Washington D.C. Law Firm And Pennsylvania Company

2664 days ago,(2011/12/06) - News Articles

News: CFTC Issues Interpretation Concerning Dodd-Frank Anti-Fraud Authority

2668 days ago,(2011/12/02) - News Articles

News: SEC Charges Multiple Hedge Fund Managers With Fraud In Inquiry Targeting Suspicious Investment Returns

2669 days ago,(2011/12/01) - News Articles

News: SEC Penalizes Investment Advisers For Compliance Failures

2671 days ago,(2011/11/28) - News Articles

News: Remarks Before The FINRA Institute At Wharton Certified Regulatory And Compliance Professional (CRCP) Program - SEC Commissioner Elisse B. Walter

2690 days ago,(2011/11/10) - News Articles

News: SEC Charges China-Based Longtop Financial Technologies For Deficient Filings

2690 days ago,(2011/11/10) - News Articles

News: CFTC Commissioner Jill E. Sommers To Act As Senior Commissioner For The Agency In Any Matters Relating To The Bankruptcy Of MF Global, Inc.

2690 days ago,(2011/11/10) - News Articles

News: SEC Charges San Diego-Based Investment Adviser And Its President With Fraud

2690 days ago,(2011/11/10) - News Articles

News: SEC Enforcement Division Produces Record Results In Safeguarding Investors And Markets - Agency’s Fiscal Year Totals Show Most Enforcement Actions Filed In Single Year

2691 days ago,(2011/11/09) - News Articles

News: SEC Obtains Record $92.8 Million Penalty Against Raj Rajaratnam

2692 days ago,(2011/11/08) - News Articles

News: Daniel Gallagher Sworn In As SEC Commissioner

2693 days ago,(2011/11/07) - News Articles