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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.
Securities & Exchange Comm (SEC) is part of Business Exchange, suggested by
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Zynga Inc., the online game developer that is planning an initial public offering, restated first-quarter results after...
The SEC has filed fraud charges and obtained an asset freeze against Canopy Financial Inc. and Jeremy J.
Today, the SEC announced civil charges against Goldman Sachs for committing fraud that cost investors more than $1...
How could the Securities and Exchange Commission, which admits it had gotten tips about Madoff for years, bring some...
LONDON (Reuters) - Cooking the books to please banks won't fool investors, a top accounting official said on Monday,...
Power & Solutions Inc. filed to withdraw its paperwork for an initial public offering with the U.S.
A brief survey of options ideas and strategies culled from what’s out there so far this week
U.S. regulators said mutual funds aren’t telling investors enough about why they use derivatives, with some funds...
New York Post, the SEC's Meagan Chung -- the woman who investigated Bernie Madoff in 2005 and...
The SEC's new chief says moves are afoot to empower shareholders
News that the Securities and Exchange Commission filed a civil suit against Goldman Sachs has sent the investment...
It’s going to be a long, hot summer – for both the Securities and Exchange Commission and the imaginative fraudsters it...
WASHINGTON — Two enforcement lawyers at the Securities and Exchange Commission are under investigation for possible...
Posted By Norb Vonnegut on January 25, 2010 At SEC, a Scholar Who Saw it Coming I’ve been tough on the SEC.
Last week the SEC charged Value Line Inc., an affiliated broker-dealer Value Line Securities (VLS), and two of Value...
SEC: Where are YOUR Dead Bodies Buried? Posted By Norb Vonnegut on February 17, 2010 There’s an expression in finance,...
If you studied your proxy materials carefully this year, you noticed several new disclosures, including one explaining...
The SEC charged Ezra Levy, former CFO of hedge fund manager Boston Provident LP, with securities fraud.
The most precious commodity on Wall Street is information, and savvy players will do almost anything for it ...
JAKARTA.- Sothebys announced that the Company has opened an office in Jakarta and appointed Deborah Iskandar as...
After a decade of trying to convince U.S. authorities that Bernard Madoff's seemingly high-flying hedge fund was a...
The Securities and Exchange Commission has charged Daniel Spitzer with the perpetration of a $105 million Ponzi scheme...
With some drama and controversy, last month the SEC granted activist investors one long-held wish, for proxy access.
Few investors understand the difference between a broker and a financial adviser. And that's the problem.
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