United States: Global Indices Provider Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

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20 May 2021 0 shares 1 views

United States: Global Indices Provider Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 20 May 2021

A global provider of stock market indices settled SEC charges for the dissemination of stale index values due to an undisclosed quality control feature in one of its volatility-related indices.

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United States: Broker-Dealer Settles SEC Charges For SAR Filing Failures - Cadwalader, Wickersham & Taft LLP

To settle the charges, the broker-dealer agreed to (i) a censure and (ii) a $1.5 million civil monetary penalty.

Mondaq 17 May 2021

United States: Eight Companies Settle SEC Charges For Late-Filing Form Disclosure Violations - Cadwalader, Wickersham & Taft LLP

The SEC stated that the actions were a result of an SEC initiative focused on companies that announced financial restatements or..

Mondaq 04 May 2021

United States: Global Indices Provider Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

United States: Global Indices Provider Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

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United States: Broker-Dealer Settles SEC Charges For SAR Filing Failures - Cadwalader, Wickersham & Taft LLP

United States: Eight Companies Settle SEC Charges For Late-Filing Form Disclosure Violations - Cadwalader, Wickersham & Taft LLP

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