• Now, investors are crying foul, the SEC is launching investigations and Chinese companies are in trouble for failing to comply with reporting rules of the exchange on which they are listed.

    FORBES: Reverse Mergers -- Pushers May Be The Problem

  • Our company is a smaller reporting company as described by the Rules of the Securities and Exchange Commission Regulations.

    FORBES: Going, Gone: Too Many "Going Concern" Warnings May Be As Bad As Too Few

  • Soft-spoken but no-nonsense, she oversaw the subsequent transition of the ringgit to a managed float in 2005 and the gradual relaxation of foreign exchange rules.

    FORBES: Women to Watch In Asia

  • The Securities and Exchange Commission (SEC) today adopted rules under Section 922 of the Dodd-Frank Act to create a whistleblower program that rewards individuals who provide the agency with tips that lead to successful enforcement actions.

    FORBES: Dialing for Dollars - SEC Adopts Program to Pay Bounties to Whistleblowers

  • Some vigorous critics of 401(k) plans have argued that the plans will get better soon, thanks to the proliferation of low-cost exchange-traded index funds and new rules that force the plans to more fully disclose their costs to investors.

    FORBES: How To Fix Your Lousy 401(k) Retirement Plan: Pool It, Like a Pension Fund

  • Earlier today, the Securities and Exchange Commission (SEC) adopted rules designed to implement core provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding investment advisers, including those that advise hedge funds.

    FORBES: SEC Finally(!) Issues "Hedge Fund Rules" Required Under Dodd-Frank; Postpones Mandatory Registration Until Mach 2012

  • OECD's members Switzerland, Belgium, Austria and Luxembourg would not sign on to the project because they would have to give up their banking-secrecy rules, which do not allow the exchange of information about foreign tax evasion.

    ECONOMIST: All together now | The

  • The Municipal Securities Rulemaking Board, a self-regulatory body that reports to the Securities and Exchange Commission, has proposed rules that would require brokers to ask clients about the importance of state tax benefits, explain a client's direct-sold in-state plan for comparison purposes, and determine what is most suitable for the client--instead of just pushing broker-sold out-of-state plans that might carry higher commissions for them.

    FORBES: Magazine Article

  • As a result of a 2011 court ruling that overturned Securities and Exchange Commission (SEC) rules mandating universal proxy access, the Business Roundtable and the national Chamber of Commerce prevailed in their mistaken defence of corporations.

    FORBES: Shareholders on the Rampage at Your Annual Meeting: U.S. Proxy Season Foresight

  • Once a "draft" version of the rules is agreed upon between the SEC staff and the exchange, the SEC posts these rules for public comment and response.

    FORBES: Don't Be Afraid Of The Dark Pools

  • In exchange, Mr Wilders has secured the promise of tighter immigration rules, a ban on some Islamic garb and more money for care of the elderly.

    ECONOMIST: Why Geert Wilders is a problem, not a solution

  • Exchange rules may permit the Chinese authorities to attend the board meetings of listed companies, something that might not bother the NYSE, which does not face competition from Chinese exchanges in its home markets of Europe or America, but would probably horrify a global bank.

    ECONOMIST: The Shanghai Stock Exchange

  • Mr. Einhorn's lawsuit, filed in the federal court in Manhattan, argues that the very formulation of Apple's proxy statement violates Securities and Exchange Commission rules that allow shareholders to vote on "each matter" in the proposals.

    WSJ: Einhorn Sues Apple Over Preferred Stock Plan

  • The U.S. Securities and Exchange Commission has received a deluge of requests to amend short-selling rules it enacted just two years ago as the New York Stock Exchange continues its efforts to enforce existing regulations.

    FORBES: Magazine Article

  • Ilyushin, who was head of the Vladivostok region at the time, says the local government turned a blind eye as people broke all sorts of Soviet rules and sold scrap metal, surplus cement and anything else it could find to the Chinese in exchange for food and clothing.

    FORBES: Magazine Article

  • The Securities and Exchange Commission (SEC) has just announced new disclosure rules that expand its scrutiny of foreign firms.

    CENTERFORSECURITYPOLICY: Center For Security Policy

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