DISCOVERING CATALYSTS FOR GROWTH
- Plan sponsors need to look at managers' T + 1 preparedness. Costa, Michael L. // Pensions & Investments;4/30/2001, Vol. 29 Issue 9, p47
Reports the task of plan sponsors of choosing the performing managers for the investments of plans in the United States. Suggestion of the Securities and Exchange Commission on the implementation of the T+1 settlement; Essence of the T+1 settlement; Risks in the performance of the plans.
- Zaslav Gets His Reward. Farrell, Mike // Multichannel News;1/25/2010, Vol. 31 Issue 4, p28
The article reports on the announcement of the U.S. Securities and Exchange Commission (SEC) regarding the 34 million dollars received by the Discovery Communications LLC on January 15, 2010.
- INVESTMENT BANKING DATABASE: Telecommunications. Burns, Mairin // Investment Dealers' Digest;5/26/2003, Vol. 69 Issue 21, p52
Presents information about developments in the U.S. as well as global telecommunication market as of May 19, 2003. Agreement between MCI WorldCom Inc. and the U.S. Securities and Exchange Commission on accusations of accounting fraud; Imposition of fine on Deutsche Telecom AG by the European...
- Auction Agents Pay SEC $1.6M. Hume, Lynn // Bond Buyer;1/10/2007, Vol. 359 Issue 32545, p1
The article reports that three auction agents in an auction-rate securities market have paid a total of $1.6 million to settle the charges with the U.S. Securities and Exchange Commission. The commission accused that agents that they accepted broker-dealer bids after deadlines and allowed...
- Challenges Ahead For EIAs And Structured Products. Macchia, David // National Underwriter / Life & Health Financial Services;7/21/2008, Vol. 112 Issue 27, p12
The article discusses the challenges faced by the structured products industry in the U.S. in 2008, particularly the equity index annuities (EIAs). EIAs came to be seen by many observers as not suitable for seniors with retirement income needs, the clients for whom EIAs were originally designed....
- Settlements bring anticlimactic close to SEC fraud case. Andrews, Greg // Indianapolis Business Journal;8/22/2005, Vol. 26 Issue 24, p4
Talks about the developments involving business enterprises in Indianapolis, Indiana. Settlement agreement between Securities and Exchange Commission (SEC) with various businesses with fraud cases; Details of the plan filed by Clear Channel Communications Inc. with the SEC regarding its major...
- Raymond James Settles ARS Issues. // Research;Aug2011, Vol. 34 Issue 8, p25
The article reports on the settlement agreement between Raymond James Financial Services Inc., state securities regulators and the Securities and Exchange Commission (SEC) on the trading of auction rate securities (ARS) in the U.S.
- SEC Nails Xerox. // Practical Accountant;Jun2002, Vol. 35 Issue 6, p12
Reports on the settlement of a suit filed against Xerox Corp. by the U.S. Securities and Exchange Commission. Allegations of Xerox for defrauding investors; Violations of the company to several accounting standards; Appointment of a committee responsible for reviewing the company's material...
- Harvey, Ill. Settles SEC Charges. Glazier, Kyle // Bondbuyer.com;12/5/2014, p23
The article reports the move by the city of Harvey in Illinois in early December 2014 to settle the charges filed by the U.S. Securities and Exchange Commission (SEC) alleging that it misled bond investors when it diverted proceeds away from projects they were intended for. The projects cited...