Securities and Exchange Commission

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SEC's Schapiro Depicted As An Easily-Influenced, Failed Wall Street Regulator - As Predicted

HuffingtonPost.com | Jason Linkins | Posted 12.30.2009 | Politics

Read More: Regulatory Reform, Financial Reform, Steven Pearlstein, Securities and Exchange Commission, Bernie Madoff, Barack Obama, Mary Schapiro, Politics News

Over at Bloomberg today, Jesse Westbrook unpacks at length on how Securities And Exchange Commission Chair Mary Schapiro is having a hard time bringin...

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Executive Pay: SEC To Crack Down On How Companies Hide Compensation

Posted 12.16.2009 | Business

Read More: Federal Reserve, Executive Pay, Securities and Exchange Commission, Executive Compensation, Wall Street Compensation, Business News

WASHINGTON (MARCY GORDON -- AP) -- Companies will have to reveal more information about how much they pay their top executives, under expanded require...

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McCain, Cantwell Team Up To Renew Glass-Steagal Act, Depression-Era Banking Law

Posted 12.15.2009 | Politics

Read More: John McCain, Stock Market Crash, Wall Street, Commercial Banks, Tim Geithner, Maria Cantwell, Banks, Glass-Steagall Act, Arthur Levitt Jr., Securities and Exchange Commission, Paul Volcker, Recession, Great Depression, Politics News

Senators John McCain and Maria Cantwell are joining forces to reinstate the Depression-era Glass-Steagal Act of 1933, which separated commercial banki...

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Inside the Wall Street Journal's Future of Finance Initiative

Janet Tavakoli | Posted 12.14.2009 | Business

Read More: Total Return Swap, Alistair Darling, Financial Stability Board, Financial Reform, Carlyle Broup, Too Big to Fail, Ccc, Chancellor of the Exchequer, Socially Useless, Allianz Global Investors, Wall Street Journal, Paul Volcker, Ana Botin, Finanancial Innovation, JPMorgan Chase, Sir Howard Davies, Elizabeth Corley, Mario Draghi, Hedge Funds, Future of Finance Initiative, Barclays Plc, Financial Crisis, Bear Stearns, Securities and Exchange Commission, Moody's, Robert Diamond, Peloton, Banesto, Business News

We, the middle aged financiers, are responsible for taking action on the issue of massive financial fraud. If we don't, we will never restore trust in the financial system.

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Stanley Chais, Investor Tied To Madoff, The Subject Of New Criminal Probe

AP | LARRY NEUMEISTER | Posted 12.11.2009 | Business

Read More: Bernard Madoff, Stanley Chais, Securities and Exchange Commission, Ponzi Scheme, Madoff Ponzi Scheme, Madoff Scandal, Business News

NEW YORK — A criminal probe of a prominent California investment manager parallels a civil investigation that concluded he fed nearly $1 billion...

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SEC Widens Probe Into BofA, Merrill Deal

AP | MARCY GORDON | Posted 12.11.2009 | Business

Read More: Robert Khuzami, Bank of America, Bofa-Merrill-Lynch-Bonuses, Sec, Securities and Exchange Commission, Ken Lewis, Bofa, Business News

WASHINGTON — The Securities and Exchange Commission has expanded its probe of Bank of America to include the bank's possible failure to disclose...

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Empower Stockholders To Dictate Executive Salaries

Jerry Chautin | Posted 12.18.2009 | Business

Headlines shout about overly generous executive compensation packages. Some say it is disgusting, obnoxious and egregious.

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Geithner: $700B Bailout Program Will End Soon, Derivatives Allowed Banks To 'Write Their Own Rules' (VIDEO)

Posted 12.02.2009 | Business

Read More: Timothy Geithner, Credit Default Swaps, Bailout, Securities and Exchange Commission, Fiscal Policy, Business News

WASHINGTON (MARCY GORDON - AP) -- Treasury Secretary Timothy Geithner is affirming the administration's intent to soon end the $700 billion financial ...

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SEC Accuses Denver Area Firm Of Orchestrating Ponzi Scheme That Victimized Green Investors

AP | Posted 11.17.2009 | Denver

Read More: Ponzi Scheme, Donna McKelvy, Sec, Denver Ponzi Scheme, Securities and Exchange Commission, Wayde McKelvy, Denver News

DENVER — Federal regulators have accused four people and two companies of fraud in an alleged $30 million Ponzi scheme that lured 300 investors ...

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Stock Market Rebound Raises Red Flags For Economists, Investors

The Washington Post | Martha C. White | Posted 11.15.2009 | Business

Read More: Dow Jones, Stock Market Rise, The Center for Economic and Policy Research, Charles E. Schumer, Federal Reserve, Russell 2000, Stock Market, Securities and Exchange Commission, Mary Schapiro, Business News

With a close over 10,270 on Friday, the Dow Jones industrial average had its best showing of 2009. Like the day a few weeks earlier when it broke the ...

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Insider Trading: How is a Secret Best Kept?

Mary Shannon Little | Posted 11.12.2009 | Home

Read More: Compliance, Insider Trading, Wall Street, Securities and Exchange Commission, Corporate America, Home News

How can any company keep information known to dozens, maybe hundreds, of corporate executives, lawyers, bankers and accountants confidential?

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How Credit Raters Fended Off Oversight From Congress And The SEC

Huffington Post Investigative Fund | Ben Protess and Lagan Sebert | Posted 11.11.2009 | Business

Read More: Christopher Dodd, Paul Kanjorski, Chuck Shumer, Securities and Exchange Commission, Charles Schumer, Regulatory Reform, Derivatives, Floyd Abrams, Financial Crisis, Credit Rating Agencies, Sec, Chris Dodd, Huffington Posts Investigative Fund, Business News

Editor's Note: This is the second of three articles by the Investigative Fund on the credit rating companies. Read the first article here. When the n...

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Barney Frank Reconsiders Derivatives Rules: "There May Be A Problem Here"

boston.com | Michael Kranish | Posted 11.04.2009 | Business

Read More: Derivatives Measure, Senator Maria Cantwell, Derivatives Rules, Americans for Financial Reform, Commodities Futures Trading Commission, Derivatives Reform, Barney Frank, Derivatives Trading, Gary Gensler, Securities and Exchange Commission, Heather Booth, House Financial Services Committee, Barney Frank Legislation, Business News

WASHINGTON -- House Financial Services Committee chairman Barney Frank, under fire from some fellow Democrats and consumer groups for carving out what...

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Sarbanes-Oxley Act: Amendment To Exempt Small Firms Passes House Committee

Rolfe Winkler | Posted 11.04.2009 | Business

Read More: John Adler, Sarbanes-Oxley Act, Enron, Regulation, Worldcom, Securities and Exchange Commission, Consumer Protection, House Financial Services Committee, Business News

An amendment that would permanently exempt small public companies from complying with a key provision of the Sarbanes-Oxley Act advanced in Congress t...

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JPMorgan Settlement: Bank To Pay SEC Over $700M Over Charges Of Illegal Payments

AP | MARCY GORDON | Posted 11.05.2009 | Business

Read More: Charles LeCroy, JPMorgan Settlement, JPMorgan Chase, Municipal Bonds, Sec, Jefferson County Alabama, Douglas MacFaddin, Securities and Exchange Commission, Business News

WASHINGTON — JPMorgan Chase & Co. has agreed to pay $75 million in fines and forfeit $647 million in fees to settle federal regulators' charges ...

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House Panel Votes To Permanently Exempt Small Firms From Part Of Post-Enron Law

HuffingtonPost.com | Shahien Nasiripour | Posted 11.04.2009 | Business

Read More: Worldcom, Scott Garrett, Arthur Levitt, Barney Frank, Enron, Obama Administration, Investors, John Adler, Rahm Emanuel, Mary Schapiro, Sarbanes-Oxley Act, Financial Crisis, Sec, Securities and Exchange Commission, Business News

A House panel voted Wednesday to permanently exempt more than half of all publicly traded companies from a seven-year-old post-Enron measure designed ...

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Obama Administration Helps House Democrat Gut Post-Enron Reforms

HuffingtonPost.com | Shahien Nasiripour | Posted 11.03.2009 | Business

Read More: Scott Garrett, Arthur Levitt, Barney Frank, Obama Administration, Carolyn Maloney, John Adler, Paul Kanjorski, Consumer Federation of America, Rahm Emanuel, Mary Schapiro, Sarbanes-Oxley Act, Financial Crisis, Investor-Protections, Securities and Exchange Commission, Business News

With the White House's blessing, a House panel voted Tuesday to water down a key post-Enron measure designed to protect investors. In a voice vote, m...

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Madoff Auditor: I Wasn't Aware Of Bernie's Fraud

AP | LARRY NEUMEISTER | Posted 11.04.2009 | Business

Read More: David Friehling Fraud, Ponzi Scheme, David Friehling, Securities and Exchange Commission, Bernie Madoff, Madoff Auditor, Business News

NEW YORK — Bernard Madoff's longtime auditor pleaded guilty to securities fraud charges Tuesday, saying he failed to do his job to verify the disgra...

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White House Quietly Working To Weaken Investor Protection

HuffingtonPost.com | Shahien Nasiripour | Posted 11.02.2009 | Business

Read More: John Adler, Investor Protection, Worldcom, Financial Reform, Enron, Sarbanes-Oxley Act, Financial Crisis, Consumers, Securities and Exchange Commission, Financial Regulation, Carolyn Maloney, Investors, Business News

The White House is quietly working to undercut a key post-Enron reform, significantly weakening protection for everyday investors and threatening the ...

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SEC Reportedly In Settlement Talks With BofA And UBS

Reuters | Posted 11.01.2009 | Business

Read More: Bank of America, Ubs, Securities and Exchange Commission, SEC Settlement Talks, CDR Financial Products Inc, Municipal Investment Contracts, U.S. Justice Department, Business News

NEW YORK (Reuters) - The Securities and Exchange Commission is in settlement talks with several large financial institutions to resolve investigations...

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Credit Rating Agencies: New Regulations Approved By House Committee

AP | ANNE FLAHERTY | Posted 10.29.2009 | Business

Read More: Standard, Ratings Agencies, Financial Crisis, Securities and Exchange Commission, House Financial Services Committee, Moody's, Business News

WASHINGTON — A House committee voted Wednesday to set new rules for investment rating agencies, which lawmakers say misled investors by giving h...

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The Smartest Guy in the Room

Dan Collins | Posted 10.27.2009 | New York

Read More: Andrew Cuomo, Wall Street, Merrill Lynch Bonuses, Ken Lewis, Merrill Lynch Bank of America, Bank of America, Bernard Madoff, US Attorneys, Securities and Exchange Commission, Judge Jed Rakoff, New York News

Shock waves from Judge Jed Rakoff's scathing denunciation of a proposed settlement between the SEC and the Bank of America are still rippling through Wall Street and Washington.

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Insider Trading for the Rest of Us

Eric Schurenberg | Posted 10.27.2009 | Business

Read More: Insider Trading, Raj Rajaratnam, Etf, Warren Buffett, Securities and Exchange Commission, Larry Swedroe, Nathan Hale, Peter Lynch, Jim Cramer, Allan Roth, Index Funds, Business News

Want to profit from the Galleon insider trading case? Then take the hint: It's a waste of time trying to beat the pros at the stock picking game. They outgun you, and they don't always play fair.

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House Democrats John Adler, Carolyn Maloney Move To Weaken Investor Protection Bill

HuffingtonPost.com | Shahien Nasiripour | Posted 10.27.2009 | Business

Read More: John Adler, Worldcom, Financial Reform, Enron, Sarbanes-Oxley Act, Financial Crisis, Consumers, Securities and Exchange Commission, Financial Regulation, Investors, Carolyn Maloney, Business News

Two House Democrats are planning to introduce amendments Tuesday to exempt small- and medium-sized companies from a key post-Enron reform. Consumer ad...

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New SEC Website Offers Advice To Investors

DailyFinance | Michelle Leder | Posted 10.23.2009 | Business

Read More: Finra, Websites, Securities and Exchange Commission, Investors, Mary Schapiro, Business News

Instead of trying to be all things to all the people the SEC serves -- they include investors, advisors, fund managers, lawyers and others -- investor...

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