Securities and Exchange Commission - Page 3 of 4

THE SEC is seeking public comment on a proposal that would exempt companies with less than $100 million in annual revenue from the so-called auditor attestation requirement. / BLOOMBERG NEWS FILE PHOTO/ZACH GIBSON

Enron-era accounting rules could be eased for small companies

Economic Activity 05/09/2019

NEW YORK – A United States regulator proposed freeing small companies from a Sarbanes-Oxley Act requirement that an auditor sign-off on their internal controls...

TWIN RIVER WORLDWIDE Holdings said that if the company and the recently acquired Dover Downs had been one company in 2018, earnings for 2018 would have been $77 million, as opposed to the $71.4 million the company earned in the calendar year. The acquisition closed in late March. / COURTESY TWIN RIVER

Twin River would have posted $77M profit in 2018 if it...

Economic Activity 04/29/2019

LINCOLN – Twin River Worldwide Holdings Inc. made a pro-forma filing with the U.S. Securities and Exchange Commission Monday, indicating that had the company...

PANGAEA LOGISTICS SOLUTIONS reported a profit of $24 million in 2018. / COURTESY PANGAEA LOGISTICS SOLUTIONS LTD.

Pangaea Logistics Solutions reports $24M profit in 2018

Economic Activity 03/26/2019

NEWPORT – Pangaea Logistics Solutions Ltd. reported an income of $24 million in 2018, an increase from $9.1 million one year prior in a...

WELLS FARGO has agreed to pay $812,500 to the SEC to settle charges related to the financing of 38 Studios.

Wells Fargo agrees to $813K settlement to SEC over 38 Studios...

38 Studios 03/19/2019

PROVIDENCE – Wells Fargo Securities LLC has agreed to a $812,500 settlement with the Securities and Exchange Commission over its role in the 38...

THE FEDERAL RESERVE, shown above, has issued a report that anticipates increased commercial lending by credit unions based on the relaxing of rules two years ago. Is that a good thing? / BLOOMBERG FILE PHOTO/ANDREW HARRER

Regulators issue notice of proposed Volcker Rule exemption for small banks

Financial Services 12/25/2018

PROVIDENCE – Federal banking agencies have issued a notice of proposed rule-making to exempt banks with less than $10 billion in assets from the...

Better Markets pushes SEC to release investor-testing records

Financial Services 10/23/2018

PROVIDENCE – A public interest group is calling for the Securities and Exchange Commission to release all records related to investor testing that the...

THE SEC has adopted amendments that obligates securities dealers to ensure that municipalities report updated financial information and material events to bondholders. The amendments will force the disclosure of loans incurred by municipalities, loan defaults and changes to financial covenants that affect bondholders within 10 business days. /BLOOMBERG NEWS FILE PHOTO/MICHAEL NAGLE

SEC forces cities to reveal Wall Street loans with holdings surging

Government 08/20/2018

NEW YORK - The U.S. Securities and Exchange Commission moved to require states and local governments to disclose bank loans and privately placed debt, seeking...

PRESIDENT DONALD TRUMP's request to the Securities and Exchange Commission to to study biannual reporting for public United States businesses has some concerned for transparency for investors and company growth. / BLOOMBERG NEWS FILE PHOTO/MICHAEL NAGLE

The $23 trillion argument against dismantling U.S earnings rules

Financial Services 08/20/2018

NEW YORK - Are U.S. companies penalized because they’re forced to report results each quarter? Investors basking in a nine-year bull run that is...

PRESIDENT DONALD TRUMP said that he has ordered the Securities and Exchange Commission to to study ending quarterly reporting for United States businesses. / BLOOMBERG NEWS FILE PHOTO/T.J. KIIRKPATRICK

Trump seeks SEC study of 6-month reporting instead of quarterly

Government 08/17/2018

NEW YORK - President Donald Trump said he’s asked the Securities and Exchange Commission to study ending quarterly reporting for United States businesses in order...

SECRETARY OF THE COMMONWEALTH William F. Galvin said the SEC’s new rules of conduct for securities broker-dealers should be more stringent, like those for investment advisers. / COURTESY MASS. SECRETARY OF THE COMMONWEALTH

Groups, officials weigh in on SEC-proposed standard of conduct for broker-dealers

Financial Services 08/14/2018

PROVIDENCE – Numerous groups and officials weighed in last week on the U.S. Securities and Exchange Commission’s Regulation Best Interest proposal that sets a...

1 234 Page 3 of 4

- Featured Event -

Tag: Securities and Exchange Commission

Latest News

SUBSCRIBE TO

SIGN UP FOR

FOLLOW US

MOST POPULAR

OUR MISSION

ABOUT PBN