Displaying 3237 results
Penny-quoting study a success, says SEC
Pricing stock options in pennies results in cheaper retail trades, according to an SEC study.
Credit agencies check in with SEC
Moody’s, along with six other credit rating agencies, have applied for registration with the Securities Exchange Commission.
SEC probing CDOs, CLOs
The SEC has filed about a dozen investigations involving bundled debt and loan obligations, published reports said.
SEC wants clearer financial reporting
Robert Pozen, chairman of MFS, will head an SEC advisory committee to improve the clarity of financial reporting.
GLG settles short-selling charges
GLG Partners of London has agreed to pay more than $3.2 million to settle charges of illegal short-selling.
Site links companies to ‘terror’ countries
A new website allows investors to see if a company has interests in countries designated by the U.S. as State Sponsors of Terrorism.
IBM pays $7M to settle investigations
IBM will pay $7 million dollars to a Dollar General Corp. shareholder fund to settle two investigations.
SEC cracks down on abusive short selling
The Securities and Exchange Commission yesterday voted to enact stronger measures to discourage abusive short selling of stock.
SEC eases up on foreign firms trades
SEC regulators today agreed to relax accounting regulations for foreign companies that trade on U.S. exchanges.
Commission OKs XBRL for funds
The SEC voted to allow mutual funds to submit data on their risks and returns in an interactive electronic format.
Reyes’ fraud, conspiracy trial begins
Federal court trials have started for Gregory L. Reyes, former chief executive of Brocade Communications.
SEC names first archivist
The Securities and Exchange Commission has named David Brown as its first archivist.
SEC issues compliance guidance
The SEC has released its ComplianceAlert letter to provide guidance to chief compliance officers of SEC-registered firms.
SEC lifts limits on short selling
The Securities and Exchange Commission has voted to lift price restrictions on short selling.
Ex-SEC lawyer sued in penny stock scam
Two securities attorneys, including a former enforcement attorney with the SEC, were among those sued today by the SEC for allegedly participating in an illegal “pump and dump” scheme.
SEC roundtable weighs ‘mutual recognition’
Retail investors could be at risk if foreign firms are allowed to offer securities in the U.S. without going through a U.S. broker.
Ex-Putnam directors settle charges
Two former managing directors at Putnam have agreed to pay $400,000 each to settle charges against them.
SEC settles IBM expense reporting case
IBM has settled an SEC investigation into disclosures of compensation expenses related to its earnings report from the first quarter of 2005.
SEC defends anti-backdating regs
The SEC testified that options backdating has declined since the implementation of its improved disclosure rules.
Fund lawyer to assist SEC’s Donohue
Thomas R. Smith Jr. has been tapped as senior adviser to Andrew J. "Buddy" Donohue.
