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The US Securities and Exchange Commission fined six major credit rating organizations a total of $49 million for their “significant failures” to keep electronic communications.
The move comes after 11 brokerage and investment firms were fined $549 million this August by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) over ...
The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February ...
Federal Communications Commission v. Fox Television Stations, Inc. , 567 U.S. 239 (2012), was a decision by the Supreme Court of the United States regarding whether the U.S. Federal Communications Commission 's scheme for regulating speech is unconstitutionally vague .
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That month, Clear Channel Communications received a $6,000 NAL for three of Stern's broadcasts from February 7, 14 and April 25, 1997 on KKND in New Orleans. Transcripts of the offending material cited talk of college hazing that involved a pig, vaginas and a web site on bestiality. [61] Both companies paid off their respective fines. [1]
WASHINGTON (Reuters) -The U.S. Securities and Exchange Commission's scrutiny of how Wall Street handles work-related communications on personal devices and apps such as WhatsApp has expanded ...
The SEC sent him a letter wanting to know why he had not disclosed those purchases within 10 days of crossing the 5% threshold of shares owned, as required by securities law.