SEC Urges Court of Appeals to Deny Call to Put Rule Changes on Hold
- REALITY SETS IN: FUND COMPLIANCE AFTERSHOCKS. Curtis, Carol E. // Securities Industry News;Winter2005, Vol. 17, p10
Focuses on the mutual fund reform agenda of the U.S. Securities and Exchange Commission (SEC). Details of a chief compliance officer requirement imposed on mutual funds and investment advisors; Adoption of a fund governance package by the Commission; Details of a lawsuit filed by the U.S....
- SEC Charges Heartland. Fine, Jacob // Bond Buyer;12/12/2003, Vol. 346 Issue 31780, p1
Reports on the civil fraud charges filed by the Securities and Exchange Commission (SEC) against William Nasgovitz, founder of Heartland Advisors Inc. in the U.S. Involvement of other officers and portfolio managers of misrepresentations, mispricing and insider trading with respect totwo...
- SEC Charges Developer, Appraiser Over Rancho Lucerne Project Bonds. Hume, Lynn // Bond Buyer;2/26/2003, Vol. 343 Issue 31581, p4
Reports that the U.S. Securities and Exchange Commission has filed securities fraud charges against the developer and appraiser of the proposed San Bernardino, California-based Rancho Lucerne residential golf course community. Overview of the lawsuit.
- Mob-linked plumbers fined by SEC. Mader, Robert P. // Contractor Magazine;May96, Vol. 43 Issue 5, p1
Reports on the settlement of the cases involving the Security and Exchange Commission and two officers of Atratech Incorporated, an alledgedly mob-connected plumbing firm. Agreement to pay fines; Perceived control of convicted felon, Anthony Gurino; His working background; State of cases against...
- Federal judge rules in favor of SEC in porn case. // Buffalo Law Journal;12/13/2010, Vol. 82 Issue 99, p11
The article reports that U.S. District Judge Christine Arguello ruled out that U.S. Securities and Exchange Commission (SEC) does not have to release the names of employees who viewed pornography on agency computers during work hours, and argues that SEC has already released enough information...
- Pay-to-Play Lawsuit in Appeal. Glazier, Kyle // Bond Buyer;1/5/2015, Issue 34236, p1
A lawsuit challenging the Securities and Exchange Commission's investment adviser pay-to-play rule is moving forward in a D.C. federal appeals court, with implications for muni market pay-to-play restrictions hanging in the balance.
- Insider Trading Laid to Ex-Chemical Analyst. // American Banker;5/24/2000, Vol. 165 Issue 100, p24
Reports that former investment analyst Anthony Polk was accused along with two others of selling inside information. Civil complaint issued by the United States Securities and Exchange Commission.
- Counselor barred. // Hudson Valley Business Journal;1/22/96, Vol. 6 Issue 45, p20
Reports that Gary A. Smith, an investment counselor of Ann Arbor, Michigan was barred from the securities industry due to death threats to a Securities and Exchange Commission attorney, a federal judge and a marshall.
- Bond buyers, rest easier. Lee, Charles S.; McGinn, Daniel // Newsweek;11/20/1995, Vol. 126 Issue 21, p73
Reports that the Securities and Exchange Commission (SEC) told city officials in Denver, Colorado, that it may sue them for fraud. The Denver International Airport opening behind schedule and overbudget; Assertion that investors might have wanted to know about the airport's problems when they...