Securities Exchange Commission

News

1. Selling Your Pension For Cash Lump Sum: Pros, Mostly Cons

   Wed, 22 May 2013

   regulators. But not all offers are legal, and some contain hidden costs. Earlier this month, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issued a joint investor-alert cautioning
2. The Note's Must-Reads for Wednesday, April 24, 2013

   Wed, 24 Apr 2013

   coalition of Democratic elected officials, shareholder activists and pension funds has flooded the Securities and Exchange Commission with calls to require publicly traded corporations to disclose to shareholders all of their political
3. 
   SEC Not Liable for Missing Bernie Madoff: Court

   Wed, 10 Apr 2013

   Madoff clients who argued " the SEC [ Securities and Exchange Commission ] negligently failed to adequately recognized that challenging the SEC would be difficult but this wronged (both by Madoff and the SEC ) and their rights needed
4. TurboTax Lobbies Lawmakers to Keep Tax Code Complicated

   Thu, 4 Apr 2013

   the tax process. The ProPublica article also noted that in its latest annual report filed with the Securities and Exchange Commission , Intuit stated that that free government tax preparation presents a risk to its business. About 35
5. SEC Says 'Yes' to Corporate Tweets

   Wed, 3 Apr 2013

   tweet their financial results and other news. The ruling from the SEC allows publicly traded companies to release corporate news on Netflix customers had exceeded one billion for the first time. The SEC said it will take no action against Hastings. Apple used to
6. Hedge Fund Manager Charged With Insider Trading

   Fri, 29 Mar 2013

   investigation. SAC Capital Advisors recently agreed to pay a record $616 million civil penalty to settle two insider-trading lawsuits brought by the SEC . A judge has yet to sign off on that agreement. Cohen hasn't been accused of wrongdoing.
7. Illinois Settles Muni Bond Fraud Charges

   Mon, 11 Mar 2013

   risk to its overall financial condition, the SEC said in a statement. Illinois began revising George S. Canellos, acting director of the SEC 's Division of Enforcement. "Time after system." Elaine Greenberg, chief of the SEC 's Municipal Securities and Public Pensions

Videos

1. 
   Where Was the SEC ?

   Tue, 7 Oct 2008

   general's report out today. Concludes the SEC . Gave Mac preferential treatment three Charles Grassley. There's a culture at the SEC . That they're not willing to take on Nash was about to take over Afghanistan. The SEC 's head of enforcement Linda Thompson

   the SEC found at 0:58, 1:41

   firm John and a a new inspector general's report out today. Concludes the SEC . Gave Mac preferential treatment three years ago during an insider trading investigation. He's pretty much off limits the investigation of -- was

   The report was requested by senator Charles Grassley. There's a culture at the SEC . That they're not willing to take on the big boys. And whether big economically or big politically for our Mac has lots of -- on Wall Street and the inspector general's report found that because Nash was about to take over Afghanistan. The SEC's head of enforcement Linda Thompson. He gave him information about the investigation that quote would not be available to another potential target of lesser means our reputation uncorked. The inspector general recommended disciplinary action against tops. Matt denies He tried to influence the SEC and after a gig was fired back did testify and was cleared of wrongdoing. While the report did not find cases are generally affected by political decisions at the SEC . It is a damning indictment of the SEC in a time when many questions about his failure to fully enforce Wall Street laws are being ready.
2. 
   Financial Scheme Unravels

   Tue, 16 Dec 2008

   or three years. If the SEC had been enormous job Today in Washington the SEC 's head of enforcement ducked questions about the SEC 's failure to detect Total collapse. Of the Securities and Exchange Commission . Ability to police

   Securities Exchange Commission found at 3:47

   since 2006. -- -- operation the subject to the scrutiny of the securities exchange commission . Last year at a business roundtable. Madoff talked about dealing with the SEC revealing his own niece was married to an SEC officials. There's always this friction that goes on. Between the regulating saw the
3. 
   Goldman Sachs Charged With Fraud

   Fri, 16 Apr 2010

   government coming down like got hammered today on Goldman Sachs. The Securities and Exchange Commission has charged the powerful investment bank with fraud. The SEC accuses Goldman of an elaborate mortgage investment scheme tied to the

   Securities and Exchange Commission found at 0:06

   but government coming down like got hammered today on Goldman Sachs. The Securities and Exchange Commission has charged the powerful investment bank with fraud. The SEC accuses Goldman of an elaborate mortgage investment scheme tied to the collapse of the housing market. And officials say today's charges could
4. 
   McCain: SEC Chair 'Betrayed the Public Trust'

   Thu, 18 Sep 2008

   primary regulator of Wall Street. Is the Securities and Exchange Commission . We call the SEC kept in place trading rules. Let speculators companies into the ground. Chairman. Of the SEC serves at the appointment of the president

   Securities and Exchange Commission found at 0:31

   not working for you. The primary regulator of Wall Street. Is the Securities and Exchange Commission . We call the SEC kept in place trading rules. Let speculators and hedge funds. Turn our markets. Into a casino. They allowed naked short selling which
5. 
   Goldman's Un-Midas Touch

   Mon, 19 Apr 2010

   is reeling this morning still falling after the Goldman Sachs charges on Friday were brought by the Securities and Exchange Commission here in Washington. This really sent shockwaves throughout put the US market in the world markets

   Securities and Exchange Commission found at 0:08

   falling after the Goldman Sachs charges on Friday were brought by the Securities and Exchange Commission here in Washington. This really sent shockwaves throughout put the US market in the world markets you're seeing Asian markets now. Falling
6. 
   Jan. 24, 1984: First Apple Macintosh Computer

   Wed, 5 Oct 2011

   screen. a couple of years when you become really proficient when your computer the Securities and Exchange Commission will help you make money with a the SEC just called for bids to computerize its public files on American corporation. And

   Securities and Exchange Commission found at 0:29

   couple of years when you become really proficient when your computer the Securities and Exchange Commission will help you make money with a the SEC just called for bids to computerize its public files on American corporation. And they are huge going about five and a half
7. 
   SEC Questioned in Madoff Case

   Wed, 17 Dec 2008

   Intensifies in the Securities and Exchange Commission trying to explain forms with the Securities and Exchange Commission . Certified by a long period the SEC first investigated instances in which the SEC examination oversight

   Securities and Exchange Commission found at 0:16, 1:17

   have swindled so many out of so much. Intensifies -- in the Securities and Exchange Commission trying to explain how the government missed so many signals. Brian Ross is here tonight Brian what Charlie as Griffey is like

   alleged fifty billion dollar. Three years Madoff filed these forms with the Securities and Exchange Commission . Certified by independent public accountants freely and Horwitz. -- and Horwitz is a one room operation in the small suburban office park outside New York. And that alone should have been a tip off to the FC CC securities law experts. A tiny. Accounting firm was totally inappropriate for handling the securities volume of this size and for accounts of the flaws. And over such a long period the SEC first investigated Madoff in 1992 but found no problem. There is a disturbing pattern. Of instances in which the SEC examination oversight did not seem to be and where we would've expected today. Just last year Madoff a former chairman of NASDAQ