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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 ...
Moody’s Investor Services and S&P Global Ratings agreed to pay the heftiest fines, a $20 million civil penalty each. Fitch Ratings agreed to pay $8 million, A.M. Best Rating Services agreed to ...
The SEC announced Sunday that Texas would be fined $250,000 and ban anyone who threw something onto the field from attending a Texas sporting event for the rest of the school year.
Other fines, including for trash-throwing, go toward the SEC's postgraduate scholarship fund. — Ross Dellenger (@RossDellenger) November 11, 2024 Ole Miss fans stormed the field (twice ...
Created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act), SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, among ...
Mississippi has been fined $75,000 after the game with LSU was interrupted by fans throwing debris on the field. The SEC announced the fine Thursday, adding to the $100,000 penalty that had ...
It’s technically the school’s first offense under revamped conference rules.
The U.S. SEC disclosed settling charges requiring Oracle Corp (NYSE: ORCL) to pay over $23 million for violating the Foreign Corrupt Practices Act (FCPA) provisions. Oracle's subsidiaries in ...