Most Active Articles 2013-05-24T15:24:10.927-04:00 Business Exchange Business_Exchange@businessweek.com urn:com:businessweek:bx:topic:most-active:securities--exchange-comm-sec Steve Bobrov sbobrov064 urn:com:businessweek:bx:article:16659302093184907434-7dd1d57d451fd9cf5c2d019b3444f582 2012-11-28T21:26:02.160-05:00

SAC Capital Advisors told investors it had received a so-called Wells notice from the Securities and Exchange Commission, an indication the agency was considering an enforcement action against the hedge fund.

SAC Capital Advisors told investors it had received a so-called Wells notice from the Securities and Exchange Commission, an indication the agency was considering an enforcement action against the hedge fund. http://dealbook.nytimes.com/2012/11/28/securities-and-exchange-commission-weighs-suing-sac-capital/ Tea Tree ttree910 0 0 0 0 urn:com:businessweek:bx:article:5343223708931143132-9ad5b1117be9ae8d82f77fc5afcb19bf 2013-02-11T22:22:01.631-05:00

Mary Jo White, who has been nominated to run the Securities and Exchange Commission, has also disclosed that husband would relinquish his partnership at Cravath, Swaine & Moore, converting his interest in the firm from an equity to non-equity status.

Mary Jo White, who has been nominated to run the Securities and Exchange Commission, has also disclosed that husband would relinquish his partnership at Cravath, Swaine & Moore, converting his interest in the firm from an equity to non-equity status. http://dealbook.nytimes.com/2013/02/11/mary-jo-white-discloses-law-firm-wealth/ Tea Tree ttree910 15 15 0 0 urn:com:businessweek:bx:article:11597012134996270501-44ab11de3653e40f60fae70f095b5297 2012-05-24T04:24:21.927-04:00

Watch Six Billion Dollar Bet on PBS. See more from FRONTLINE. Images: Flickr (licence)

Watch Six Billion Dollar Bet on PBS. See more from FRONTLINE. Images: Flickr (licence) http://www.elliottwavemarketservice.com/2012/05/video-mf-global-the-six-billion-dollar-bet/ Paul Thomason pthomason223 3 2 1 0 urn:com:businessweek:bx:article:9200514874506598315-d8f1fc6b99276f028d6196bb5ce4a1c3 2012-11-26T14:11:55.642-05:00

Mary L. Schapiro, who overhauled the Securities and Exchange Commission after the financial crisis, announced on Monday that she was stepping down as chairwoman of the agency. Elisse B. Walter, a commissioner at the S.E.C., is expected to be named to take over the post.

Mary L. Schapiro, who overhauled the Securities and Exchange Commission after the financial crisis, announced on Monday that she was stepping down as chairwoman of the agency. Elisse B. Walter, a commissioner at the S.E.C., is expected to be named to take over the post. http://dealbook.nytimes.com/2012/11/26/schapiro-head-of-s-e-c-to-announce-departure/ Tea Tree ttree910 1 1 0 0 urn:com:businessweek:bx:article:15167737971586558896-e8745c41a28f047d0f7f924404bffb48 2012-12-04T06:13:56.332-05:00

The world's 'Big Four' audit firms are facing action by the US market regulator for allegedly failing to cooperate with an investigation into accounting fraud by Chinese companies.

The world's 'Big Four' audit firms are facing action by the US market regulator for allegedly failing to cooperate with an investigation into accounting fraud by Chinese companies. http://www.telegraph.co.uk/finance/newsbysector/banksandfinance/9720266/SEC-to-take-action-against-Big-Four-over-China-audits.html Tea Tree ttree910 13 13 0 0 urn:com:businessweek:bx:article:681269422972915308-81d64823dfdbab5b4aaf978b6a0b7359 2012-11-28T21:26:19.013-05:00

After Mary J. Miller, a senior Treasury Department official, removed her name from consideration, Sallie L. Krawcheck, a longtime Wall Street executive, has emerged as a potential front-runner to head the S.E.C.

After Mary J. Miller, a senior Treasury Department official, removed her name from consideration, Sallie L. Krawcheck, a longtime Wall Street executive, has emerged as a potential front-runner to head the S.E.C. http://dealbook.nytimes.com/2012/11/28/as-miller-drops-out-race-for-s-e-c-chief-shifts/ Tea Tree ttree910 2 2 0 0 urn:com:businessweek:bx:article:4155011594193039661-0ea4392cc4c8b0397026b3d6289e76eb 2012-09-03T15:53:54.816-04:00

The Securities and Exchange Commission (SEC) has agreed to pay $50,000 to a whistleblower who helped uncover violations of the federal securities laws. This is the first reward to be paid under a whistleblower program that was authorized by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The Securities and Exchange Commission (SEC) has agreed to pay $50,000 to a whistleblower who helped uncover violations of the federal securities laws. This is the first reward to be paid under a whistleblower program that was authorized by the Dodd-Frank Wall Street Reform and Consumer Protection Act. http://www.john-howley.com/1/post/2012/09/sec-pays-first-whistleblower-reward-under-dodd-frank-act.html John Howley, Esq. jhowley106 5 5 0 0 urn:com:businessweek:bx:article:15975742366667898762-a69cf265787d95a5894740166023416e 2012-10-07T20:23:45.017-04:00

The Securities and Exchange Commission is paying a trading firm for software that will give the agency its first real-time window on an increasingly sophisticated stock market.

The Securities and Exchange Commission is paying a trading firm for software that will give the agency its first real-time window on an increasingly sophisticated stock market. http://www.nytimes.com/2012/10/08/business/sec-regulators-turn-to-high-speed-trading-firm.html Tea Tree ttree910 11 11 0 0 urn:com:businessweek:bx:article:14652864068721931845-5a5645d53dba8b19bccfb2eec21e9632 2012-03-14T08:50:41.123-04:00

The SEC charged Larry A. Goldstone, Clarence Simmons and Jane Starrett with fraud for allegedly trying to hide the company’s deteriorating financial condition.

The SEC charged Larry A. Goldstone, Clarence Simmons and Jane Starrett with fraud for allegedly trying to hide the company’s deteriorating financial condition. http://www.washingtonpost.com/business/economy/sec-charges-3-former-thornburg-executives-with-fraud/2012/03/13/gIQAXsaKAS_story.html Tea Tree ttree910 24 24 0 0 urn:com:businessweek:bx:article:2032254113016552897-ea009d8ff8ac9342e4e3c993bf7ceed6 2012-08-04T11:33:56.999-04:00

The jury that acquitted a former Citigroup executive in the S.E.C.'s case against him included with the verdict a statement supporting financial investigations.

The jury that acquitted a former Citigroup executive in the S.E.C.'s case against him included with the verdict a statement supporting financial investigations. http://dealbook.nytimes.com/2012/08/03/s-e-c-gets-encouragement-from-jury-that-ruled-against-it/ Tea Tree ttree910 6 6 0 0 urn:com:businessweek:bx:article:4795602116583920416-0013b7d07c46682251178caa15994f58 2012-06-23T06:59:17.617-04:00

Investor confidence in the markets has waned after problems on the day Facebook shares began trading.

Investor confidence in the markets has waned after problems on the day Facebook shares began trading. http://dealbook.nytimes.com/2012/06/21/as-facebook-seeks-answers-s-e-c-investigates-exchanges/ Tea Tree ttree910 4 4 0 0 urn:com:businessweek:bx:article:1277837590959513664-9f30a3eed52f871d6d5d6975d98eb8a0 2011-10-27T05:42:43.696-04:00

Despite gaining a new lease of life and a bigger budget, many are saying that the Securities and Exchange Commission (SEC) has yet to be rejuvenated or altered in any way. Anthony Harrington looks at whether it will change, whether it needs to, and what might happen if it doesn't.

Despite gaining a new lease of life and a bigger budget, many are saying that the Securities and Exchange Commission (SEC) has yet to be rejuvenated or altered in any way. Anthony Harrington looks at whether it will change, whether it needs to, and what might happen if it doesn't. http://www.qfinance.com/blogs/anthony-harrington/2011/10/27/can-the-sec-be-made-fit-for-purpose - - qcom724 22 22 0 0 urn:com:businessweek:bx:article:9089426609476094351-166aa5678461fb70a31e716b57be9cc9 2011-05-14T00:49:45.734-04:00

By Edward Siedle – You have got to try this one for yourself. Just try calling the SEC saying you’re a whistleblower and want to report a securities scam. I did so myself recently and it was a hoot. Telling this story reminds me of comedienne Kathy Griffin’s hysterical tales of bizarre encounters with Hollywood glitterati that embarrass themselves. It may be wrong to make fun of the SEC’s awkward, half-hearted and conflicted effort to respond to whistleblowers but it is, nevertheless, fun.

By Edward Siedle – You have got to try this one for yourself. Just try calling the SEC saying you’re a whistleblower and want to report a securities scam. I did so myself recently and it was a hoot. Telling this story reminds me of comedienne Kathy Griffin’s hysterical tales of bizarre encounters with Hollywood glitterati that embarrass themselves. It may be wrong to make fun of the SEC’s awkward, half-hearted and conflicted effort to respond to whistleblowers but it is, nevertheless, fun. http://blogs.forbes.com/edwardsiedle/2011/05/12/sec-whistleblower-office-does-not-want-to-talk-to-you/ George Mattathil gmattathil715 11 10 0 1 urn:com:businessweek:bx:article:16613086585403878360-823bd8eb6461d49a4ee834e4147f12c2 2012-01-11T00:10:27.166-05:00

By Sarah N. Lynch – U.S. securities regulators will question the top U.S. audit watchdog about his budget and policy priorities on Wednesday, in a rare public meeting designed to shed more transparency on the agency that has tightened the screws on the auditing profession over the past year. The PCAOB (Public Company Accounting Oversight Board) is considering whether to limit the number of years an audit firm can work for the same client – an action that could break up some business relationships more than a century old. It also is considering forcing auditors to put their names on the audit reports attached to companies’ financial statements.

By Sarah N. Lynch – U.S. securities regulators will question the top U.S. audit watchdog about his budget and policy priorities on Wednesday, in a rare public meeting designed to shed more transparency on the agency that has tightened the screws on the auditing profession over the past year. The PCAOB (Public Company Accounting Oversight Board) is considering whether to limit the number of years an audit firm can work for the same client – an action that could break up some business relationships more than a century old. It also is considering forcing auditors to put their names on the audit reports attached to companies’ financial statements. http://theneteconomy.wordpress.com/2012/01/10/sec-to-put-u-s-audit-watchdog-under-microscope/ George Mattathil gmattathil715 9 8 0 1 urn:com:businessweek:bx:article:14938517684551944549-c001b90e100040bc58ed89f1d9751f8b 2011-08-18T11:54:55.965-04:00

The American Institute of Certified Public Accountants has recommended to the Securities and Exchange Commission that U.S. public companies be allowed the option of adopting use of International Financial Reporting Standards

The American Institute of Certified Public Accountants has recommended to the Securities and Exchange Commission that U.S. public companies be allowed the option of adopting use of International Financial Reporting Standards http://mbsbookkeeping.blogspot.com/2011/08/aicpa-recommends-sec-allow-optional.html Kevin Bishop kbishop976 10 10 0 0 urn:com:businessweek:bx:article:14663880888464344053-616e72b5388df1be9b8919bf86d71cf7 2011-07-21T08:59:23.461-04:00

Moneyline is an Indian Commodity Advisory Firm which provides commodity trading tips, commodity prices, quotes, charts, commodity research and analysis reports, commodity futures trading tips for commodity markets as - MCX India, NCDEX, COMEX, NYMEX

Moneyline is an Indian Commodity Advisory Firm which provides commodity trading tips, commodity prices, quotes, charts, commodity research and analysis reports, commodity futures trading tips for commodity markets as - MCX India, NCDEX, COMEX, NYMEX http://www.moneyline.co.in/contact.html Rajesh J. Shah rshah088 1 1 0 0 urn:com:businessweek:bx:article:10635412919164895778-30a83bce2355813567bcbd6ad2f4f5a5 2011-12-08T08:19:14.103-05:00

Financial Information and market forecasts, focusing on stocks, gold and oil.

Financial Information and market forecasts, focusing on stocks, gold and oil. http://www.livecharts.co.uk/livewire/2011/12/07/sec-looking-to-implement-tougher-rules-to-stop-insider-trading/ Lee "Forex" Mel lmel020 14 14 0 0 urn:com:businessweek:bx:article:6063420910123063922-389bf0123486ac0a33933152608b4c0d 2010-01-09T06:42:00.000-05:00

...what it was and how it related to SEC yield. In Vanguard's tax exempt bond funds, the distribution yield is quite a bit higher than the SEC...

...what it was and how it related to SEC yield. In Vanguard's tax exempt bond funds, the distribution yield is quite a bit higher than the SEC... http://www.bogleheads.org/forum/viewtopic.php?t=48427&start=0&mrr=1263037337 92 92 0 0 urn:com:businessweek:bx:article:1007318178246829843-890c13460c1e1363d5c282e93af31cac 2011-09-29T09:35:24.408-04:00

Anthony Harrington takes a harsh look at the SEC and the new top dog Mary Shapiro, investigating their handling of Bernie Madoff, their place in this new financial climate and their fascinating address to the US Congress.

Anthony Harrington takes a harsh look at the SEC and the new top dog Mary Shapiro, investigating their handling of Bernie Madoff, their place in this new financial climate and their fascinating address to the US Congress. http://www.qfinance.com/blogs/anthony-harrington/2011/09/29/you-cant-do-dodd-frank-on-a-shoestring-the-sec-warns-us-congress - - qcom724 12 11 1 0 urn:com:businessweek:bx:article:12586999436128179108-ed5285def486cef1860c003a0912838e 2011-07-26T13:08:23.843-04:00

George Soros, the billionaire best known for breaking the Bank of England, is returning money to outside investors in his $25.5 billion firm, ending a career as hedge-fund manager that spanned more than four decades.

George Soros, the billionaire best known for breaking the Bank of England, is returning money to outside investors in his $25.5 billion firm, ending a career as hedge-fund manager that spanned more than four decades. http://www.bloomberg.com/news/2011-07-26/soros-to-end-four-decades-as-hedge-fund-leader-by-returning-investor-cash.html Roz Bennetts rbennetts305 2 2 0 0 urn:com:businessweek:bx:article:10603906969014666246-9f37dcc18cf73c605cbd38ecd7879fe9 2011-06-20T18:58:47.375-04:00

A spate of recent documents submitted by a Texan indicate nearly trillion-dollar stakes in some huge publicly traded companies, highlighting the open and unmonitored nature of the Securities and Exchange Commission filing process.

A spate of recent documents submitted by a Texan indicate nearly trillion-dollar stakes in some huge publicly traded companies, highlighting the open and unmonitored nature of the Securities and Exchange Commission filing process. http://online.wsj.com/article/BT-CO-20110616-715151.html Timothy Barello tbarello599 8 8 0 0 urn:com:businessweek:bx:article:14500883382675262681-04c871ef83a17d97c4625f823414087c 2011-02-16T16:59:36.321-05:00

Should a financial advisor be required to put your best interests first? The answer seems obvious, but the question is being punted back and forth between lawmakers and regulators trying to re-structure oversight of financial advisory services in the wake of the 2008 financial meltdown.

Should a financial advisor be required to put your best interests first? The answer seems obvious, but the question is being punted back and forth between lawmakers and regulators trying to re-structure oversight of financial advisory services in the wake of the 2008 financial meltdown. http://www.ihavenet.com/Personal-Finance-SEC-Takes-Steps-Toward-Financial-Planning-Overhaul-But-Issues-Remain-MM.html Constantinos Mikelis dmikelis084 12 12 0 0 urn:com:businessweek:bx:article:1979276954331701015-f833af6ffc9c28e0fdf2e560993220a1 2011-02-18T10:48:15.507-05:00

Joint CFTC-SEC panel issues 'flash crash' recommendations - read this Platts news article and other stories in oil by clicking here. Also discover Platts energy information products related to oil.

Joint CFTC-SEC panel issues 'flash crash' recommendations - read this Platts news article and other stories in oil by clicking here. Also discover Platts energy information products related to oil. http://www.platts.com/RSSFeedDetailedNews/RSSFeed/Oil/8564343 Paul Maguire pmaguire845 4 4 0 0 urn:com:businessweek:bx:article:4305539852452352831-0eaf79927f390e0e184af44190276223 2011-05-23T09:59:25.702-04:00

With every earnings season, investors are not only bombarded with profit reports and outlooks, but also Securities and Exchange Commission (SEC) quarterly filings. Here are five tidbits worth reading from the most recent batch of 10-Q's.

With every earnings season, investors are not only bombarded with profit reports and outlooks, but also Securities and Exchange Commission (SEC) quarterly filings. Here are five tidbits worth reading from the most recent batch of 10-Q's. http://www.traderdaily.com/05/top-five-interesting-10-q-tidbits/?utm_source=BX&utm_medium=SMO&utm_campaign=BX&utm_content=ContentPost Amy Terenzi aterenzi148 3 3 0 0 urn:com:businessweek:bx:article:10228284062444422659-52b0669d2293c11ac0d1f1e8feed2af8 2010-06-18T16:07:31.163-04:00

The Securities and Exchange Commission has charged Luis Felipe Perez with orchestrating and conducting a $40 million Ponzi scheme that targeted the Hispanic community in his Miami neighborhood. According to the SEC’s press release, Mr. Perez assured his investors that their loan agreements were risk free and guaranteed them annual returns of 18% and monthly interest payments of 120%. The SEC further claims Mr. Perez “falsely told investors that their investments were collateralized by diamonds, and even led some investors to believe they were beneficiaries on his life insurance policy without disclosing that the policy had lapsed.”

The Securities and Exchange Commission has charged Luis Felipe Perez with orchestrating and conducting a $40 million Ponzi scheme that targeted the Hispanic community in his Miami neighborhood. According to the SEC’s press release, Mr. Perez assured his investors that their loan agreements were risk free and guaranteed them annual returns of 18% and monthly interest payments of 120%. The SEC further claims Mr. Perez “falsely told investors that their investments were collateralized by diamonds, and even led some investors to believe they were beneficiaries on his life insurance policy without disclosing that the policy had lapsed.” http://hedgetracker.com/article/Luis-Felipe-Perezs-40-Million-Ponzi-Scheme-uncovered Todd Walker rwienke085 24 24 0 0