Tag: SEC

As if American International Group (AIG) hasn't been picked on enough, late yesterday the New York Stock Exchange (NYSE) posted a notice of suspension and delisting for AIG on its Web site—accidentally.

A Texas state district judge approved the start of a claims process for Texans who invested with a Houston company accused of scamming retired teachers, state workers, and others out of more than $20 million.

It may be of little consolation to his victims, but a federal judge gave Bernard Madoff a sentence that should keep him behind bars for the rest of his life.

Staff investigators at the Securities and Exchange Commission (SEC) have announced their intention to get permission from commissioners to file civil charges against State Street Bank and Trust Co. in connection with the activities of its State Street Global Advisors (SSgA) unit.

The Securities and Exchange Commission (SEC) has voted unanimously to propose rule amendments to significantly strengthen the regulatory framework for money market funds.

The Securities and Exchange Commission (SEC) released the lineup of witnesses set to testify about target-date funds before SEC and Department of Labor (DoL) officials on Thursday.

Ravaged by the same fiscal turbulence pounding the nation's legitimate businesses, Ponzi operations have been collapsing at a record clip, The Washington Post reported.

The Securities and Exchange Commission (SEC) will ask a federal judge to block some investor lawsuits against the failed Reserve Primary Fund to ensure all shareholders get as much money as possible, the New York Times reported.

The Securities and Exchange Commission (SEC) on Monday charged Boston-based Evergreen Investment Management Company with securities law violations for overstating the value of a mutual fund that invested primarily in mortgage-backed securities.

The Securities and Exchange Commission (SEC) appears to have a lot on its agenda.

The Securities and Exchange Commission (SEC) said it finalized settlements with Bank of America, RBC Capital Markets, and Deutsche Bank over charges that the firms misled investors regarding the liquidity risks associated with auction rate securities (ARS) that they underwrote, marketed, or sold.

Mary Schapiro, Securities and Exchange Commission (SEC) chairman, told the Senate Appropriations Committee’s Subcommittee on Financial Services and General Government today that she has asked the SEC staff to prepare a recommendation to change Rule 12b-1.

Eight (mostly) former employees of Fidelity Investments have reached preliminary settlements with the U.S. Securities and Exchange Commission (SEC) in a gift-taking probe, according to Reuters, citing court documents.

How to work (a) with, (b) around, (c) through your compliance department

Washington has a full plate of retirement plan issues

SEC charges Merrill with misleading pension clients

Pension fund sues UBS

Advisers may try to use designations to boost their businesses but regulatory oversight is increasing

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