Securities and Exchange Commission (SEC) - Announcements, Interviews & News Stories

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43 Results from /people, "Securities and Exchange Commission (SEC)"

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Fidelity pays $8m to settle 'lavish gifts' case

The Securities and Exchange Commission today charged fund manager Fidelity Investments and 13 current or former employees including high-ranking executives for improperly accepting more than $1.6 million in travel, entertainment, and other gifts paid for by outside brokers courting the massive trading business Fidelity generates on behalf of the mutual funds it manages.

06 March 2008

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SEC appoints Jonathan Sokobin director, office of risk assessment

The Securities and Exchange Commission announced today that Jonathan S. Sokobin has been named Director of the agency's Office of Risk Assessment (ORA), which is responsible for helping SEC Divisions and Offices develop new ways to anticipate emerging issues and address potential problems in the securities markets.

29 February 2008

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Bats appoints general counsel to manage exchange application

BATS Trading Inc. hired Eric Swanson as general counsel and said that his primary initial responsibilities will be working with the Securities and Exchange Commission as BATS seeks SEC approval of its exchange application.

18 January 2008

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DTCC names Mihal Nahari CCO; extends Smart/Track services to ISLA members

The Depository Trust & Clearing Corporation today announced the appointment of Mihal Nahari, a highly regarded industry expert on legal, compliance and regulatory risk management, as chief compliance officer.

29 November 2007

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SEC hires Blaszkowsky to lead new XBRL reporting unit

Securities and Exchange Commission Chairman Christopher Cox today announced the creation of a new office within the 74-year old agency to lead the transformation to interactive financial reporting by public companies, and tapped an 11-year veteran of McGraw-Hill, whose career includes seven years with the firm's Standard & Poor's division, as the agency's Director of Interactive Disclosure.

09 October 2007

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