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InternetNews
August 10, 2010 |
Skype Going Public With $100M IPO Pioneering voice-over-Internet-protocol provider Skype announces plans to go public, hoping to raise more than $100 million, according to a filing with the SEC.   |
The Motley Fool
November 6, 2009
Alex Dumortier |
Inside Goldman's Money Machine Goldman Sachs' quarterly report gives investors a peek at just how consistently profitable its trading activity was in the third quarter. |
Registered Rep.
February 11, 2004
John Churchill |
Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
BusinessWeek
September 26, 2005
Amy Borrus |
The SEC: Cracking Down On Spin The Securities & Exchange Commission is going after executives for skimpy or misleading disclosures in annual reports. |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
The Motley Fool
June 24, 2005
Tim Beyers |
Your Own Personal Deep Throat Do you know all there is to know about the stocks you own? The government does. You can, too. EDGAR (Electronic Data Gathering Analysis and Retrieval) is an investor's best friend. |
InternetNews
January 13, 2005 |
Google Square with SEC Google has reached an agreement with the Securities and Exchange Commission regarding its failure to register stock options issued to employees, according to a financial document filed on Thursday. |
The Motley Fool
March 31, 2008
David Lee Smith |
Who Are Those Guys? Don't be taken in by New York Times' shares running counter to their industry. |
The Motley Fool
August 23, 2006
Tim Beyers |
Meet the SEC If you're an investor, you have a friend. His name is EDGAR (the acronym for the database hosted by the Securities and Exchange Commission). |
The Motley Fool
September 13, 2005
Nathan Parmelee |
Buckle Shares the Wealth The retailer's quarterly filings reveal an impressive stock buyback. |
CFO
May 1, 2010
Sarah Johnson |
The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine. |
The Motley Fool
July 16, 2010
Alyce Lomax |
Can the SEC Instill Confidence? Investors should make sure that the agency's efforts to untangle the proxy process ultimately benefit shareholders more than corporations. |
InternetNews
June 8, 2004
Kevin Newcomb |
Salesforce.com Hits Bump on Road to IPO Excessive media coverage has caused the on-demand CRM provider to delay its offering, but the road to an IPO has now been cleared. |
The Motley Fool
June 9, 2011
Matt Koppenheffer |
I Will Help You Lose All of Your Retirement Money Here are three ways that I believe can almost guarantee that you will lose most or all of the money that you have available to invest (and then some!). |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
Investment Advisor
September 2009
Melanie Waddell |
SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme. |
Information Today
August 21, 2008 |
SEC Announces a New IDEA--The Successor to EDGAR Based on a completely new architecture being built from the ground up, it will at first supplement and then eventually replace the EDGAR system. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
| Knowledge@Wharton |
What Webvan Could Have Learned from Tesco Look at the Britain-based supermarket chain called Tesco. The company's online arm, Tesco.com, is on track to garner $420 million in revenues this year, and analysts reckon its profits from the online grocery business will be around $22 million... |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
CFO
October 1, 2002
Alix Nyberg |
Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency? |
Investment Advisor
June 1, 2011
Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors. |
BusinessWeek
March 2, 2011
Abelson et al. |
With Dodd-Frank, the SEC Goes After Big Game The SEC's expanded administrative powers under Dodd-Frank helped shape its insider-training case against business legend Rajat Gupta |
The Motley Fool
June 20, 2006
Seth Jayson |
SEC Slaps Tube Traders A few South American account holders are charged with trading Maverick Tube on inside information. The SEC is, so far, short on the details of just how these people got insider information. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Registered Rep.
April 28, 2010
Bill Singer |
The SEC's Own Report Says that It Missed Tips and Clues in a Giant Ponzi Some have alleged improper political motives in the Stanford case, which the SEC has denied. |
Investment Advisor
February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009. |
The Motley Fool
December 7, 2005
Rich Duprey |
Inside the SEC Filing Maze Need help digging out information before you invest? Let us give you a hand. Here's a map to some of the best sites to help you navigate the maze. |
Investment Advisor
June 1, 2011
Melanie Waddell |
Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform. |
CFO
November 1, 2009
Alix Stuart |
An Agency Ready to Roar? The SEC under new chief Mary Schapiro has gotten off to a slow start on the enforcement front, but attorneys expect a burst of energy in 2010. |
U.S. Banker
September 2007
Lee Conrad |
Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading. |
National Defense
November 2011
Piazza & Ayers |
Regulators Flex Foreign Corrupt Practices Act Enforcement Muscles Continuing a trend that started late in the last decade, the Securities and Exchange Commission this year continues to raise the bar on the enforcement of the Foreign Corrupt Practices Act of 1977. |
The Motley Fool
December 19, 2011
Travis Hoium |
Who Really Gets Rich Off Investment Banks? The answer may surprise you. |
Registered Rep.
April 26, 2005
Kristen French |
A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft. |
BusinessWeek
May 20, 2010 |
This Cop's Beat Is Wall Street George Canellos left private practice 10 months ago to take over the New York office of the Securities & Exchange Commission |
The Motley Fool
August 20, 2010
Alyce Lomax |
Will the SEC Protect Proxy Access? Investors of all stripes should keep an eye on next week's ruling. |
Investment Advisor
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
BusinessWeek
December 13, 2004
David Henry |
Where's That Quarterly Report? Companies, striving to clean up their books, are filing late -- and seeing shares fall. |
Registered Rep.
July 1, 2005
Kristen French |
On-the-Job Therapy at the SEC After months of trying to fill the position, the SEC has hired a psychologist to work on the commission's flagging morale. |
Investment Advisor
March 2009
James J. Green |
News: SEC's Top Cop Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private sector. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
The Motley Fool
March 2, 2011
Alyce Lomax |
For Shareholders, Secrecy Stinks You can't have good corporate governance without transparency. |
Registered Rep.
April 20, 2011 |
Wednesday Link Roundup: April 20, 2011 Bill Gross Announces PIMCO Total Return Exchange-Traded Fund... What If Lehman Failed Today?... Advisors to Clients: The Tax Man Cometh... SEC Names New Head of National Broker/Dealer Program... more... |
Registered Rep.
March 11, 2009
Halah Touryalai |
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings. |
The Motley Fool
April 19, 2010
Jennifer Schonberger |
The S&P 500's Biggest Movers Regulatory news puts a dent in the market. |
