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BusinessWeek
November 13, 2006
Jane Sasseen |
A Closer Look At Trades By Top Brass Some execs may be abusing an SEC "safe harbor" rule on insider stock sales.   |
BusinessWeek
November 6, 2006
Jane Sasseen |
Not As Random As It Looks? Some executives seem to be making big gains in automatic trading plans. |
BusinessWeek
July 26, 2004
Paula Dwyer |
The SEC To Top Execs: Read The Fine Print The Ken Lay criminal indictment has overshadowed the parallel SEC civil lawsuit. But corporate insiders and their attorneys would be wise to give the SEC complaint a close read. |
Financial Planning
August 1, 2006
Gavin Morrissey |
Flying Blind For financial advisory clients who are corporate insiders with company stock, a blind trust may be their best option. However, it's imperative that advisers work with attorneys who are familiar with blind trusts to ensure that the document includes the proper provisions. |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
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. |
Investment Advisor
November 2009
Melanie Waddell |
B/D News A new managed account program... Moves by the SEC... |
BusinessWeek
February 6, 2006
Emily Thornton |
More Heat On Hedge Funds As if there weren't enough controversy surrounding hedge funds, now the Securities & Exchange Commission is investigating suspicions that fund employees are engaging in insider trading. |
BusinessWeek
December 6, 2004
Amy Borrus |
No More Breaks For The Big Board Why the SEC should stand by its plan to loosen the NYSE's hold on trading |
The Motley Fool
October 18, 2007
Seth Jayson |
Butcher's Boy on the Chopping Block Countrywide CEO Angelo Mozilo's shady stock sales finally get some official scrutiny. |
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? |
Reason
October 2003
Michael McMenamin |
St. Martha Why Martha Stewart should go to heaven and the SEC should go to hell. |
Registered Rep.
March 1, 2007 |
Blotter SEC Front Running Probe... NASD Fines Bank of America... |
BusinessWeek
October 20, 2003
Dwyer & Thornton |
Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others? |
BusinessWeek
October 30, 2006
Emily Thornton |
A Steady Drip of Buyout Leaks The Justice Dept. is investigating several cases where insiders may have traded on nonpublic information. |
U.S. Banker
August 2010
John Hintze |
A Taxing New Twist Investors have long been responsible for determining the tax consequences of their securities trades, but starting next year it will be up to their account custodians -- and, indirectly, their financial advisers -- to keep them honest. |
BusinessWeek
November 19, 2007
Anne Tergesen |
Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories. |
The Motley Fool
March 1, 2006
Tim Beyers |
Who's Buying Now? Sometimes insiders are buying for all the right reasons. Who's buying now? Diodes... Fairpoint Communications... Fossil... Mellon Financial... WCI Communities... |
CFO
November 1, 2006
Randy Myers |
Can You Have Your Stock and Sell It, Too? Critics contend that something is amiss when companies buy back stock at the same time executives are selling. |
BusinessWeek
December 22, 2003
Amy Borrus |
Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors. |
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. |
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. |
InternetNews
July 8, 2009
Andy Patrizio |
Apple Faces SEC Probe on Jobs Health Disclosure The U.S. Securities and Exchange Commission is investigating Apple's handling of CEO Steve Jobs's health problems. |
Financial Planning
January 1, 2006
Jane Worthington |
Soft Dollars: The SEC's New Guidelines The revised SEC interpretation of its safe harbor provision in October 2005 ended months of speculation among money managers as to whether soft dollars can still be used to purchase investment research. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
The Motley Fool
July 6, 2004
Tom Taulli |
Grim Reaper Visits EasyLink By all appearances, EasyLink is being hit for a minor offense. Not according to the SEC. |
The Motley Fool
March 16, 2004
Seth Jayson |
Dollar General Dodges Bullet The discounter pays its way out of an SEC bookkeeping imbroglio with the usual spineless settlement. |
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. |
CFO
May 1, 2008
Alix Stuart |
All in the Families The SEC is aiming to sniff out improper relationships, including insider trading, between hedge funds and the companies they invest in. |
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. |
Registered Rep.
December 1, 2005
John Churchill |
Blotter Hackers Beating the Market... SEC Halts Fraudster, Again... |
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. |
The Motley Fool
January 10, 2012
Lawrence Greenberg |
Why Congress Isn't Liable for Insider Trading Has Congress exempted itself from the laws that send ordinary Americans to jail if they engage in insider trading? |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
Insurance & Technology
September 14, 2004 |
Hot Product AdminServer helps companies ensure a clean audit trail. |
BusinessWeek
July 23, 2009
Lewis Braham |
Investing: Profiting from Insider Moves Some pros focus on insider buying and selling as a key indicator of whether individuals should invest in a company's stock. |
Wall Street & Technology
January 5, 2007
Ivy Schmerken |
Stock Exchanges Create Trade Reporting Facilities to Earn Market Data Fees From Internalized Trades With the number of dark books and alternative trading systems proliferating, stock exchanges are venturing into the trade reporting business to earn market data fees from reporting off-exchange trades. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
The Motley Fool
November 22, 2004
Rich Duprey |
Google's Float Starts to Flood Shares in the search engine might double as the IPO lockup period expires. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
The Motley Fool
March 24, 2009
Smith & Bleeker |
Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis. |
The Motley Fool
May 1, 2009
Brian Orelli |
Catch the Perps Already Biotech may be the sector most susceptible to insider trading because there are so many binary events that can drastically change the stock price of a company in a very short time frame. |
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. |
BusinessWeek
July 31, 2006
Lewis Braham |
The Best E-Broker For You The price of a trade is just the start. Here's what you need to know to choose wisely. |
The Motley Fool
February 23, 2004
Selena Maranjian |
Tell the SEC What You Think Help the Securities and Exchange Commission disclose Wall Street's conflicts of interest by giving feedback on their proposed rule changes for mutual funds. |
Registered Rep.
August 28, 2007
John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory. |
The Motley Fool
November 17, 2004
Dave Marino-Nachison |
Feelin' Blue About Blue Nile The jewelry retailer's investors didn't appreciate news of their management's plans to sell shares. |
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. |
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. |
