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The name "Wells notice" is derived from the Wells Committee of the SEC which proposed this process in 1972. This SEC committee was named after John A. Wells, its chair. [5] The other members of the committee were former SEC Chairmen Manuel F. Cohen and Ralph Demmler. [6] Among the recommendations made by the committee was the following:
WASHINGTON (Reuters) -Wall Street's top regulator on Wednesday adopted a new rule cracking down on so-called "greenwashing" and other deceptive or misleading marketing practices by U.S. investment ...
The Securities and Exchange Commission in Washington, D.C., near Washington Union Station Symbol of the SEC Office of the Whistleblower. The U.S. Securities and Exchange Commission (SEC) whistleblower program went into effect on July 21, 2010, when the President signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The Division of Examinations conducts the SEC's National Exam Program. The division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy.
The Securities and Exchange Commission is sending an open letter to U.S. public companies asking that firms evaluate their disclosure obligations with "specific tailored disclosure" about how ...
A group of Republican senators have sent a letter to Securities and Exchange Commission Chair Gary Gensler expressing concern over a lawsuit against the crypto firm DEBT Box in which a federal ...
A Matter Under Inquiry (MUI, pronounced "muey", [1] sometimes called Matter Under Investigation [2]) is a term used by the United States Securities and Exchange Commission to describe preliminary investigations it makes into alleged financial fraud in the companies that it is responsible for regulating.
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