Bill Would Boost SEC Enforcement, Provide for More Investor Restitution
- MFS Says SEC to Act On Market Timing. // American Banker;12/9/2003, Vol. 168 Issue 235, p24
Sun Life Financial Inc. announced Monday that the Boston office of the U.S. Securities and Exchange Commission (SEC) has said it intends to recommend an enforcement action against the Toronto company's U.S. mutual fund subsidiary, Massachusetts Financial Services Co. (MFS), in connection with...
- SEC Sets New Policy; Will Go Easier On Market Participants Who. Hume, Lynn // Bond Buyer;10/24/2001, Vol. 338 Issue 31250, p5
Reports on the enforcement policy introduced by the U.S. Securities and Exchange Commission (SEC) for cooperating market participants in enforcement actions. Case study that forms basis for the enforcement policy; Several ways by which SEC can credit market participants for cooperation; Four...
- SEC Enforcement: A Look at the Current Program and Some Thoughts About the 1990s. McLucas, William R.; DeTore, Stephen M.; Colachis, Arian // Business Lawyer;May91, Vol. 46 Issue 3, p797
Examines the focus programs at the enforcement division in the United States Securities and Exchange Commission. Concentration of the enforcement program; Inclusions of the program; Discussion on the characteristics of the program.
- SEC Muni Enforcement Unit, OMS Have Grown in Size and Expertise. Casey, Jack // Bondbuyer.com;9/11/2015, p1
SEC enforcement officials want muni market participants to know that they have 30 people, mostly staff attorneys, in eight offices around the country who have significant expertise in muni issues.
- Big Brother Is Watching. Conti, Pat S.; Mann, William M. // Traders Magazine;Jan2002, Vol. 15 Issue 191, p18
Reports on the search by the NASD Regulation Inc. (NASDR) for indications and evidence of market manipulation by traders in the United States as of January 2002. Function of POSIT as a watchdog in the market; Number of persons against whom the Securities and Exchange Commission filed...
- The Enforcement of the SEC's Laws. Fedders, John M. // Vital Speeches of the Day;12/1/81, Vol. 48 Issue 4, p111
Presents the text of a speech given by John Fedders, director of the Division of Enforcement of the U.S. Securities and Exchange Commission, on October 8, 1981, which deals with the enforcement of the Commission's law.
- SEC Must Prove It Can Be Watchdog. // Securities Industry News;2/16/2009, Vol. 21 Issue 4, p6
The author offers insights on things to be made by the U.S. Securities and Exchange Commission to defend itself from criticisms from the industry. He notes that the agency needs to fully empowered its enforcement staff to aggressively pursue investigations and should hire more staff. He also...
- Practical Summary of the Regulatory Environment for Registered Investment Advisers. Cascarelli, Joseph C. // Journal of Financial Service Professionals;Nov2000, Vol. 54 Issue 6, p46
Presents a summary of the regulation for registered investment advisers in the United States. Availability of securities information on the Internet; Demonstration of investment adviser competence; Registration of financial planners; Regulation of adviser communication with the Securities and...
- Time grows short for firms to register, file with SEC. JACOBIUS, ARLEEN // Pensions & Investments;4/4/2011, Vol. 39 Issue 7, p8
The article reports on the financial services companies in the U.S. like private equity and hedge fund firms which will have to start filing reports with the U.S. Securities and Exchange Commission (SEC) from July 24, 2011.