Displaying 3237 results
SEC gives SOX relief to smaller firms
The SEC approved a new accounting standard that would lower costs on Sarbanes-Oxley compliance.
Software company CEO charged by SEC
The SEC filed has filed a civil fraud action against Robert J. Therrien, former president and chief executive of software company Brooks Automation Inc.
SEC hits food company with $45M fine
ConAgra Foods Inc. has agreed to pay a $45 million penalty to settle charges alleging it engaged in improper accounting practices.
SEC issues conflicting proxy plans
The SEC today voted to issue two opposing plans on the controversial subject of shareholder proxy access.
Internet Ponzi scheme nets millions
The SEC has settled securities fraud charges against two men that ran an Internet-based Ponzi scheme that raised $41.9 million.
Couple charged with insider trading
The SEC has filed charges against an employee of a life sciences company and his wife for trading on confidential information about upcoming mergers.
SEC welcomes RIAs aboard
The SEC will send all newly registered advisers a "welcome letter" with a summary of the key provisions of the Investment Advisers Act.
SEC pulls terrorism website
The SEC has suspended its controversial website naming companies in countries that are “sponsors of terrorism."
SEC loses chief economist
The SEC has announced the departure of Chester Spatt, chief economist and director of the Office of Economic Analysis.
Boost muni market oversight, says Cox
The SEC chief wants Congress to mandate more oversight of the $2.4 trillion municipal bond market.
SEC said to probe Whole Foods
The SEC has begun investigating web postings by John Mackey, CEO of Whole Foods Market, according to published reports.
SEC clarifies Jones settlement
On Friday, the SEC released a clarification of a 2004 $75 million settlement with Edward Jones & Co.
SEC mulls mutual recognition
The SEC may consider a proposal to give non-U.S. markets and brokers easier access to U.S. investors.
Mutual funds fall under hedge regulation
Mutual funds will now be subject to a new rule that prohibits fraud in hedge funds and other private investment pools.
SEC closes Bear probe
Bear Stearns has announced that the SEC has closed an investigation into the investment bank's municipal bond offering practices in Chicago.
Tyson tapped as director of SEC West
The SEC named Rosalind R. Tyson as acting regional director of its Los Angeles regional office.
‘Fair’ deal for Time Warner plaintiffs
The Securities and Exchange Commission today began distributing a $316 million award to defrauded Time Warner Inc. investors.
SEC says ‘freeze’ to AmeriFirst
A firm fraudulently raised at least $35 million from 330 investors, many of them senior citizens, says the SEC.
Assurant execs put on notice
A specialty insurer said that two of its employees received Wells notices from the SEC's division of enforcement.
SEC charges five former Veritas execs
Two of five defendants will settle fraud case for $278,700; a lawsuit is pending against the other three.
