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Results:1-10 of 13

Goldman Sachs settles SEC enforcement action
  • Alston & Bird LLP
  • USA
  • July 15 2010

Today, the SEC announced that Goldman, Sachs & Co. will pay $550 million and reform its business practices to settle SEC charges that Goldman misled investors in a subprime mortgage product.


Second Circuit reaffirms that merger negotiations need not be disclosed
  • Alston & Bird LLP
  • USA
  • May 19 2010

On April 7, the Second Circuit Court of Appeals affirmed that merger negotiations generally need not be disclosed by public companies.


German financial regulatory authority institutes measures to address euro zone volatility
  • Alston & Bird LLP
  • European Union, Germany
  • May 19 2010

Yesterday, the German financial regulator BaFin announced three temporary provisions to address recent market volatility in the euro zone.


Senate Banking Committee holds hearing on “short-termism” in financial markets
  • Alston & Bird LLP
  • USA
  • April 30 2010

Yesterday, the Senate Banking Committee held a hearing entitled "Short-Termism in Financial Markets."


SEC adopts new short selling rules
  • Alston & Bird LLP
  • USA
  • February 24 2010

Today, the Securities and Exchange Commission (SEC) adopted new rules related to short selling.


Senate Banking Subcommittee holds hearing on dark pools, flash orders, high frequency trading, and other market structure issues
  • Alston & Bird LLP
  • USA
  • October 31 2009

On Wednesday, the Senate Banking Committee’s Subcommittee on Securities, Insurance, and Investment held a hearing entitled "Dark Pools, Flash Orders, High Frequency Trading, and Other Market Structure Issues."


SEC proposes measures to increase transparency of dark pools
  • Alston & Bird LLP
  • USA
  • October 23 2009

On Wednesday, the SEC voted unanimously to release for public comment a proposal to increase transparency in dark pools.


SEC and CFTC to hold joint meeting on regulatory harmonization
  • Alston & Bird LLP
  • USA
  • August 21 2009

Yesterday, the SEC and CFTC issued a joint press release announcing that they will hold two joint meetings in early September.


Bank of America settles SEC charges for $33 million
  • Alston & Bird LLP
  • USA
  • August 3 2009

Today, the Securities and Exchange Commission announced that it had charged Bank of America Corporation for misleading investors in connection with Bank of America’s acquisition of Merrill Lynch & Co.


SEC files complaint charging fraud by 10 brokers in selling collateralized mortgage obligations
  • Alston & Bird LLP
  • USA
  • May 29 2009

Yesterday, the Securities and Exchange Commission announced the filing of a civil suit in which it alleges fraudulent activity by 10 brokers associated with a now-defunct California based investment firm.