Diversified Financial Services
Company Overview of U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission operates and oversees the securities markets of the United States. The company provides brokers, investment advisers, and ratings agencies inspection; financial integrity program; investment company and investment adviser filings review; and economic, financial, and legal analysis report services. Additionally, it issues, amends, and enforces federal securities laws. The company also offers regulation services focusing on securities, accounting, and auditing regulation of the private regulatory organization. Additionally, the company provides investor educational information services. U.S. Securities and Exchange Commission was founded in 1934 and is b...
100 F Street, NE
Washington, DC 20549
Founded in 1934
Key Executives for U.S. Securities and Exchange Commission
Chief Compliance & Ethics Officer
Chief Counsel and Senior Policy Advisor for Office of International Affairs
Compensation as of Fiscal Year 2014.
U.S. Securities and Exchange Commission Key Developments
Valeant it has Filed a Complaint with Securities Regulators in Quebec and the U.S
Jul 22 14
Valeant said on July 21, 2014 it has filed a complaint with securities regulators in Quebec and the U.S. over allegedly unfair tactics by Allergan Inc. Valeant said it has contacted both the Autorité des marchés financiers and the U.S. Securities and Exchange Commission regarding Allergan's "apparent attempt to mislead investors and manipulate the market for Valeant's common shares by continuing to make false and misleading statements regarding Valeant's business despite Valeant's public statements correcting such information. Valeant says Allergan falsely stated last Friday in an SEC filing that Valeant's Bausch + Lomb pharmaceutical sales were stagnant or declining, when in fact they grew about 6% in the second quarter. The U.S. prescription pharmaceutical business grew 17% over the year-earlier period, with the lion's share of that growth due to volume increases.
The US Securities and Exchange Commission Names Joseph V. Carcello to its Investor Advisory Committee
Jul 8 14
The US Securities and Exchange Commission named Professor Joseph V. Carcello to its Investor Advisory Committee. Carcello is the E&Y and Business Alumni Professor and head of the Department of Accounting and Information Management in UT's College of Business Administration. He also is executive director of the UT Neel Corporate Governance Center. The advisory committee makes recommendations to the commission as it seeks
to protect investors, promote investor confidence and integrity in the securities marketplace, and maintain fair, orderly, and efficient markets.
U.S. Securities and Exchange Commission Name S Thomas J. Krysa as Associate Regional Director in Denver Office
Jul 7 14
The U.S. Securities and Exchange Commission announced that it has named Thomas J. Krysa as the associate regional director for enforcement in its Denver office, where he will oversee enforcement efforts in seven western states. Mr. Krysa started in the Denver office in 2003 as a staff attorney, became a trial counsel the following year, and has supervised the office's trial unit since 2010.
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