| Similar Articles |
|---|
 |
Registered Rep.
September 11, 2008
Halah Touryalai |
LPL Fined For Privacy Failures The firm was slapped with a $275,000 penalty issued by the SEC for failing to safeguard its customers' personal information.   |
Registered Rep.
December 15, 2005
John Churchill |
Court to NASD: You Don't Have a Leg to Stand On For the first time in its 68 years as a self-regulatory organization, the National Association of Securities Dealers sued the Securities and Exchange Commission over a right it was never granted. Guess what? It lost. |
Registered Rep.
July 5, 2012
Kristen French |
Blotter: July 2012 One of the biggest-ever Ponzi schemes in South Florida was busted in May... The SEC charged Quantek Asset Management, a Miami-based hedge fund advisor with lying to investors... |
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. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
InternetNews
February 28, 2006
Roy Mark |
Feds Bust $50M Online Ponzi Scheme A North Carolina woman and her two companies settled federal charges that she operated a classic Ponzi scheme that generated $50 million on her paid "autosurf" Web site. |
Registered Rep.
May 1, 2012
Kristen French |
Blotter: May 2012 Ephren W. Taylor II just wanted to write books and hear his wife sing, in a manner of speaking. Problem is he needed other people's money to make that happen, nearly $11 million of other people's money. |
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. |
Registered Rep.
June 1, 2012
Kristen French |
Blotter: June 2012 Mark Spangler, Nicholas Louis Geranio, and David Blech have each violated federal securities laws. |
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
November 14, 2011
John Reeves |
Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case. |
InternetNews
January 19, 2010 |
Lincoln Financial Breach Puts 1.2M Users at Risk The financial services company admitted last week that the sharing of usernames and passwords among employees created a security breach that compromised more than 1.2 million customers' personal data. |
CFO
October 1, 2011
Sarah Johnson |
Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
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. |
Registered Rep.
August 29, 2012
Jerry Gleeson |
Blotter: September 2012 A former ESPN commentator and college football Hall of Fame coach and his colleague defrauded 97 investors in an $80 million Ponzi scheme, the SEC said. |
InternetNews
April 27, 2010 |
Passwords Should Be Last Line of Defense Longer passwords with numbers and capitalizations may make life a bit more difficult for identity thieves, but the truth is the relative strength or weakness of users' passwords should be beside the point. |
InternetNews
February 2, 2010 |
Reusing Online Banking IDs Common, Risky Seventy-three percent of more than 4 million people surveyed by security firm Trusteer admit they use the same password on social networking sites like Facebook that they use for their online banks. |
PC Magazine
August 31, 2010
Eric Griffith |
Password Protection: How to Create Strong Passwords Every password you have is important. Every one. Here's how to make your passwords uncrackable. |
PC Magazine
April 6, 2004
Peter Suciu |
Press to Pass The APC Biometric Password Manager doesn't just put your online passwords at your fingertips, it uses your fingerprints to remember passwords for you. |
BusinessWeek
July 29, 2010
Jesse Westbrook |
Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters. |
Registered Rep.
October 1, 2009
John Churchill |
SEC and CFTC Talk Reform The Securities Exchange Commission and the U.S. Commodity Futures Trading Commission announced Wednesday that they expect to release a report within two weeks that explains the regulatory responsibilities of each agency and recommends ways to improve their functioning. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
The Motley Fool
October 2, 2009
Robert Brokamp |
Let's Fix the Rules of Enforcement Is the SEC up to the task? |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
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
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
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. |
On Wall Street
July 1, 2009
Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work. |
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. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
Wired
February 2002
Adam Lashinsky |
The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action... |
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. |
PC Magazine
April 19, 2006
Robert Lemos |
Password Policies A simple password could be the weak link that leaves your data open to attack. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
The Motley Fool
June 18, 2011
Anders Bylund |
How to Thwart Digital Thieves and Stay Safe Online You wouldn't give your keys to a stranger on the street, right? Then don't do it online. |
PC Magazine
November 30, 2005
Neil J. Rubenking |
Managing Password Manager How to prevent the Password Manager from automatically entering a password within Firefox after you have given it permission to do so. |
On Wall Street
May 1, 2013
Cumming & Horwitz |
SEC Takes on Structured Notes Large banks need to provide better information on these complex securities sold to the wealthy, regulator says. |
InternetNews
December 30, 2009 |
Twitter Blacklists 370 Shoddy Passwords To protect its users from themselves, Twitter is preventing new users from selecting some common or easily hacked passwords for their accounts. |
InternetNews
January 12, 2011 |
Hacker to Expose Wi-Fi Flaw Using Amazon EC2 At next week's Black Hat conference, a security expert reportedly plans to divulge method for breaking wireless networking passwords through brute force attack. |
Inc.
November 1, 2009
Michael Fitzgerald |
Are Your Passwords Too Weak? Hacked passwords can compromise company data security. Strategies for creating the best passwords |
Investment Advisor
April 1, 2011
Melanie Waddell |
SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget |
PC World
February 2005
Lincoln Spector |
Has Someone Made Off With My Online Identity? How to tell if you're the victim of online identity theft... Use the free Password Safe utility to manage your passwords... Add text of your choice to the taskbar... |
Information Today
February 4, 2013
Paula J. Hane |
A Cyber War Is Brewing A cyberwar has been brewing and although you might view this battle as governments going head to head in a shadow fight, experts say the battleground is shifting from government entities to the private sector, to civilian targets that provide many essential services to U.S. citizens. |
