Tags » U-S-securities-and-exchange-commission

D.C. Circuit Court of Appeals to Rehear Conflict Minerals Case

Yesterday, Tuesday, November 18, a three-judge panel of the U.S. Court of Appeals for the D.C. Circuit agreed to rehear a case challenging the U.S. Securities and Exchange Commission’s (SEC) conflict minerals rule. 162 more words

Regulations

ZeekRewards Founder Arraigned In $850 Million Scam

CHARLOTTE, N.C. (AP) — A North Carolina man who prosecutors say masterminded an $850 million Internet-based Ponzi scheme is pleading innocent to charges of wire and mail fraud, conspiracy and tax fraud. 114 more words

News

Active managers face setback as SEC rejects non-transparent ETFs

The U.S. Securities and Exchange Commission rejected plans by BlackRock Inc. and Precidian Investments to open a new type of exchange-traded fund that wouldn’t disclose holdings daily, setting back efforts to bring more actively managed ETFs to market. 747 more words

ETFs

Active managers face setback as SEC rejects non-transparent ETFs

The U.S. Securities and Exchange Commission rejected plans by BlackRock Inc. and Precidian Investments to open a new type of exchange-traded fund that wouldn’t disclose holdings daily, setting back efforts to bring more actively managed ETFs to market. 747 more words

ETFs

SEC chair Mary Jo White praises 'enormously successful' whistleblower program

Mary Jo White, the chair of the U.S Securities and Exchange Commission, stopped short of recommending that the her Ontario counterpart adopt a cash-backed whistleblower program — but she praised the SEC’s version as “enormously successful.” 144 more words

FP Street

SEC chair Mary Jo White praises 'enormously successful' whistleblower program

Mary Jo White, the chair of the U.S Securities and Exchange Commission, stopped short of recommending that the her Ontario counterpart adopt a cash-backed whistleblower program — but she praised the SEC’s version as “enormously successful.” 144 more words

FP Street