accountWASHINGTON, Oct. 20 /PRNewswire/ -- The Honorable Mary L. Schapiro, chairman of the U.S. Securities and Exchange...
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SECURITIES & EXCHANGE COMM (SEC)
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the U.S. government which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets. The SEC was established in 1934 as a non-partisan regulatory agency during the Great Depression. This topic covers the latest news on the SEC and its current regulations.
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through a business slowdown and trying to burnish Goldman Sachss reputation after settling a fraud lawsuit from the...
The Securities and Exchange Commission is reviewing a proposed service from NASDAQ OMX Group aimed at curbing...
advisers to register with regulators, with those managing more than $100 million set to face oversight from the...
With some drama and controversy, last month the SEC granted activist investors one long-held wish, for proxy access.
according to a white paper published Friday. Analysts at Themis Trading identified four major recommendations that they...
The House took final action to repeal a measure that gave the Securities and Exchange Commission greater ability to...
million in 2009 and $374 million on 2008 alone, according to its most recent 10-K filing with the Securities and...
To their credit, SEC commissioners use the rather colloquial and workman-like (and inapt, see below) “proxy plumbing”...
comment, citing publicity restrictions related to the company's recent registration of an initial public offering with...
will affect the way banks and financial institutions conduct business. Mr. Gensler said the CFTC, together with the...
of Vermont, the Democratic chairman of the Senate Judiciary Committee Chairman, has introduced legislation designed to...
Extract not available.
The bottom line when evaluating and comparing funds is, always has been, and always will be performance.
breakers?? that can pause volatile trading, a program in response to the panicked May 6 market plunge.
10 of 28 alleged Ponzi cases this year were for amounts of $20 million or less, according to Securities and Exchange...
debt after Lehman Brothers Holdings Inc. was accused of misleading investors by temporarily moving assets off its books.
could hurt their lucrative sales of shares in initial public offerings, Reuters reported. Under the Dodd-Frank Act, the...
Reduction in total workforce after Biovail takes over Valeant Pharmaceuticals would be 25%, according to an SEC filing,...
Jr., a Merck & Co. executive, and Florida trader Stephen R. Goldfield settled civil allegations brought by the...
The U.S. Securities and Exchange Commission said it plans to use new financial laws to pursue credit-rating fraud...
outside parties to replace him. FASB is an independent standard-setting body, although its activities are overseen by...
to rely on its existing platform, the company disclosed last week in a filing to the U.S. Securities and Exchange...
Top Sources: Securities & Exchange Comm (SEC)
- hedgetracker.com
- Washington Post
- MarketWatch
- online.wsj.com
- Reuters UK
- bloomberg.com
- qfinance.com
- CNN Money
- ihavenet.com
- Wall Street Journal Online
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