http://topics.edition.cnn.com/topics/feeds/rss/U_S_Securities_and_Exchange_CommissionFind stories, videos, and photos about U.S. Securities and Exchange Commission from CNN.com.en-usCable News Network LP, LLLP.Thu, 26 Nov 2009 00:25:11 GMT5http://i.cdn.turner.com/cnn/.element/img/1.0/logo/cnn.logo.rss.gifhttp://topics.edition.cnn.com/topics/feeds/rss/U_S_Securities_and_Exchange_Commission14433Find stories, videos, and photos about U.S. Securities and Exchange Commission from CNN.com.http://money.cnn.com/2009/10/14/news/economy/madoff_sec_lawsuit/index.htmhttp://money.cnn.com/2009/10/14/news/economy/madoff_sec_lawsuit/index.htmTwo victims of the convicted Ponzi schemer Bernard Madoff filed suit Wednesday against the Securities and Exchange Commission, accusing the government regulator of negligence in failing to protect investors.Wed, 14 Oct 2009 19:09:00 EDThttp://money.cnn.com/2009/09/24/news/companies/sec_insider_trading_enforcement/index.htmhttp://money.cnn.com/2009/09/24/news/companies/sec_insider_trading_enforcement/index.htmThe SEC could use more days like this.Thu, 24 Sep 2009 18:33:00 EDThttp://money.cnn.com/2009/09/24/news/companies/perot_insider_trading/index.htmhttp://money.cnn.com/2009/09/24/news/companies/perot_insider_trading/index.htmThe Securities and Exchange Commission leveled insider trading charges against a Perot Systems investment firm employee for taking home $8.6 million in allegedly illicit profits just days after Dell's $3.9 billion acquisition of the services company.Thu, 24 Sep 2009 13:02:00 EDThttp://money.cnn.com/2009/09/22/news/companies/sec_bofa_rakoff.fortune/index.htmhttp://money.cnn.com/2009/09/22/news/companies/sec_bofa_rakoff.fortune/index.htmLast June, when Bank of America CEO Ken Lewis was asked by a U.S. House committee why the bank hadn't disclosed seemingly important information about its upcoming Merrill Lynch acquisition in a proxy statement last November, he had a ready response:Wed, 23 Sep 2009 13:01:00 EDThttp://money.cnn.com/2009/09/15/news/companies/bofa_sec/index.htmhttp://money.cnn.com/2009/09/15/news/companies/bofa_sec/index.htmThe outrage over big bonuses paid to Merrill Lynch employees is quickly becoming less a scandal for Bank of America and more of another black eye for Wall Street's top cop in Washington.Tue, 15 Sep 2009 22:23:00 EDThttp://money.cnn.com/2009/09/14/news/companies/bofa_sec/index.htmhttp://money.cnn.com/2009/09/14/news/companies/bofa_sec/index.htmA federal judge struck down a proposed settlement reached between Bank of America and federal regulators over outsized bonuses paid to Merrill Lynch employee.Mon, 14 Sep 2009 18:54:00 EDThttp://money.cnn.com/2009/09/10/news/madoff_sec/index.htmhttp://money.cnn.com/2009/09/10/news/madoff_sec/index.htmLawmakers took the Securities and Exchange Commission to task Thursday for failing to prevent Bernard Madoff from perpetrating one of the largest financial frauds in U.S. history.Thu, 10 Sep 2009 21:52:00 EDThttp://money.cnn.com/2009/09/02/news/economy/Madoff_SEC_investigation/index.htmhttp://money.cnn.com/2009/09/02/news/economy/Madoff_SEC_investigation/index.htmThe Securities and Exchange Commission overlooked "more than ample" evidence, including six complaints, that red-flagged the Bernard Madoff Ponzi scheme, an internal watchdog said Wednesday.Thu, 03 Sep 2009 00:52:00 EDThttp://money.cnn.com/2009/08/12/news/economy/sec_schapiro_fines.fortune/index.htmhttp://money.cnn.com/2009/08/12/news/economy/sec_schapiro_fines.fortune/index.htmIs the new cop on the U.S. securities beat armed with a pea shooter? The size of the penalties meted out by boss Mary Schapiro's team at the Securities and Exchange Commission makes it appear so.Wed, 12 Aug 2009 14:55:00 EDThttp://money.cnn.com/2009/08/10/news/companies/bank_of_america_merrill_sec_hearing/index.htmhttp://money.cnn.com/2009/08/10/news/companies/bank_of_america_merrill_sec_hearing/index.htmA federal judge refused Monday to sign off on Bank of America's $33 million settlement of a Securities and Exchange Commission lawsuit, saying neither side convinced him that the settlement was fair to the public.Tue, 11 Aug 2009 12:30:00 EDThttp://money.cnn.com/2009/08/06/news/companies/Greenberg_SEC/index.htmhttp://money.cnn.com/2009/08/06/news/companies/Greenberg_SEC/index.htmMaurice "Hank" Greenberg, former chief executive of American International Group, has agreed to pay $15 million to settle charges related to an accounting scandal, the Securities and Exchange Commission said Thursday.Thu, 06 Aug 2009 22:37:00 EDThttp://money.cnn.com/2009/08/04/news/companies/ge_accounting_fraud/index.htmhttp://money.cnn.com/2009/08/04/news/companies/ge_accounting_fraud/index.htmThe Securities and Exchange Commission on Tuesday filed a suit against General Electric claiming that it reported false results in its financial statements.Tue, 04 Aug 2009 15:39:00 EDThttp://money.cnn.com/2009/06/22/news/economy/madoff_charges/index.htmhttp://money.cnn.com/2009/06/22/news/economy/madoff_charges/index.htmThe Securities and Exchange Commission on Monday charged a brokerage firm and several individuals with raising money from investors to feed Bernard Madoff's Ponzi scheme.Tue, 23 Jun 2009 11:04:00 EDThttp://money.cnn.com/2009/06/19/news/economy/mary_schapiro.fortune/index.htmhttp://money.cnn.com/2009/06/19/news/economy/mary_schapiro.fortune/index.htmWhere will Mary Schapiro focus her scrutiny? That's no small matter to the investing world.Fri, 19 Jun 2009 20:11:00 EDThttp://money.cnn.com/2009/06/18/news/economy/Madoff_SEC/index.htmhttp://money.cnn.com/2009/06/18/news/economy/Madoff_SEC/index.htmAdmitted fraudster Bernard Madoff, the mastermind of history's biggest Ponzi scheme, had a three-hour meeting with the Securities and Exchange Commission's top watchdog this week, several sources with knowledge of the situation told CNN.Thu, 18 Jun 2009 18:40:00 EDThttp://money.cnn.com/2009/06/05/news/economy/financial_regulation/index.htmhttp://money.cnn.com/2009/06/05/news/economy/financial_regulation/index.htmThe Obama administration plans to release updated details in the coming weeks to guide Congress on the best way to reshape the nation's financial regulatory system and prevent future collapses.Mon, 08 Jun 2009 09:56:00 EDThttp://money.cnn.com/2009/05/05/news/economy/reserve_fund/index.htmhttp://money.cnn.com/2009/05/05/news/economy/reserve_fund/index.htmThe Securities and Exchange Commission has filed fraud charges against the operators of the Reserve Primary Fund for failing to provide important information to investors and trustees about the fund's exposure to Lehman Brothers.Tue, 05 May 2009 22:08:00 EDThttp://money.cnn.com/2009/04/14/news/companies/rating_agencies/index.htmhttp://money.cnn.com/2009/04/14/news/companies/rating_agencies/index.htmJust when their missteps in the ongoing financial crisis appeared to have faded, credit rating agencies are finding themselves back in the spotlight once again.Tue, 14 Apr 2009 19:21:00 EDThttp://money.cnn.com/2009/04/08/pf/investor_fees.fortune/index.htmhttp://money.cnn.com/2009/04/08/pf/investor_fees.fortune/index.htmIs this the biggest overnight price increase you've ever heard of - 359%? On April 10th, which is tomorrow, that will be the leap in "transaction fees" paid by investors to the U.S. government.Thu, 09 Apr 2009 09:53:00 EDThttp://edition.cnn.com/2009/POLITICS/03/12/campbell.brown.madoff/index.html#cnnSTCTexthttp://edition.cnn.com/2009/POLITICS/03/12/campbell.brown.madoff/index.html#cnnSTCTextWhile Bernie Madoff will never walk the streets again, there's still a lot of explaining to do, not just by Madoff and his family, but at the Securities and Exchange Commission, whose bungling of the investigation likely cost Madoff's victims even more money.Fri, 13 Mar 2009 13:14:00 EDThttp://money.cnn.com/2009/03/12/news/newsmakers/madoff_transcript/index.htmhttp://money.cnn.com/2009/03/12/news/newsmakers/madoff_transcript/index.htmYour Honor, for many years up until my arrest on December 11, 2008, I operated a Ponzi scheme through the investment advisory side of my business, Bernard L. Madoff Securities LLC, which was located here in Manhattan, New York, at 885 Third Avenue.Thu, 12 Mar 2009 18:20:00 EDThttp://money.cnn.com/2009/03/12/news/fair.value.hearing.fortune/index.htmhttp://money.cnn.com/2009/03/12/news/fair.value.hearing.fortune/index.htmRegulators should expand the toolbox banks can use to place a value on hard-to-sell assets, market participants and accounting watchdogs told a congressional panel Thursday. But some legislators said they want more sweeping action now.Thu, 12 Mar 2009 16:48:00 EDThttp://money.cnn.com/2009/03/11/markets/thebuzz/index.htmhttp://money.cnn.com/2009/03/11/markets/thebuzz/index.htmThis is a strange little rally. Stocks surged Tuesday and continued to head higher Wednesday morning.Wed, 11 Mar 2009 17:37:00 EDThttp://money.cnn.com/2009/03/10/news/uptick.fortune/index.htmhttp://money.cnn.com/2009/03/10/news/uptick.fortune/index.htmPolicymakers are reaching deep into their toolbox in search of a fix for the troubled financial markets. And once again, they are targeting short sellers, investors who profit when a stock price falls.Tue, 10 Mar 2009 20:04:00 EDThttp://money.cnn.com/2009/03/06/news/companies/stanford_investors/index.htmhttp://money.cnn.com/2009/03/06/news/companies/stanford_investors/index.htmA federal judge has unfrozen the assets of about 12,000 people and groups who invested in companies of R. Allen Stanford, who is accused in a $9.2 billion fraud scheme.Fri, 06 Mar 2009 19:56:00 ESThttp://money.cnn.com/2009/02/26/news/economy/obama_newbudget/index.htmhttp://money.cnn.com/2009/02/26/news/economy/obama_newbudget/index.htmThe Obama administration announced plans Thursday to boost the U.S. Securities and Exchange Commission's budget by 13% to help the investor protection agency better police markets and detect fraud.Thu, 26 Feb 2009 18:10:00 ESThttp://money.cnn.com/2009/02/25/news/madoff_stanford_playbook.fortune/index.htmhttp://money.cnn.com/2009/02/25/news/madoff_stanford_playbook.fortune/index.htmIf successful businesses share certain "best practices," do scam artists have their own favored techniques? The banker R. Allen Stanford, while accused of a smaller scheme than Bernie Madoff's, conducted his business in ways that make it appear they were using a similar playbook.Wed, 25 Feb 2009 21:12:00 ESThttp://money.cnn.com/2009/02/17/news/companies/investment_scheme_accusation/index.htmhttp://money.cnn.com/2009/02/17/news/companies/investment_scheme_accusation/index.htmThe Securities and Exchange Commission said Tuesday that it has charged financier R. Allen Stanford and three of his companies with orchestrating a $9.2 billion investment and sales fraud.Tue, 17 Feb 2009 22:46:00 ESThttp://money.cnn.com/2009/02/17/technology/RIM_backdating/index.htmhttp://money.cnn.com/2009/02/17/technology/RIM_backdating/index.htmBlackberry maker Research in Motion announced Tuesday that the company and four current and former officers have settled an options backdating case brought by the Securities and Exchange Commission.Tue, 17 Feb 2009 21:18:00 ESThttp://edition.cnn.com/2009/CRIME/02/17/sec.stanford/index.html#cnnSTCTexthttp://edition.cnn.com/2009/CRIME/02/17/sec.stanford/index.html#cnnSTCTextThe U.S. Securities and Exchange Commission has charged businessman Robert Allen Stanford with orchestrating an $8 billion fraudulent investment program.Tue, 17 Feb 2009 19:30:00 ESThttp://edition.cnn.com/2009/CRIME/02/05/madoff.whistleblower/index.html#cnnSTCTexthttp://edition.cnn.com/2009/CRIME/02/05/madoff.whistleblower/index.html#cnnSTCTextHarry Markopolos, the fraud investigator whose efforts to blow the whistle on investment adviser Bernard Madoff were rebuffed by the Securities and Exchange Commission, Thursday presented the SEC's inspector general with evidence of two new cases of potential investment fraud.Fri, 06 Feb 2009 04:14:00 ESThttp://money.cnn.com/2009/02/04/news/newsmakers/madoff_whistleblower/index.htmhttp://money.cnn.com/2009/02/04/news/newsmakers/madoff_whistleblower/index.htmA whistleblower who repeatedly warned the Securities and Exchange Commission that Bernard Madoff was perpetrating a massive investment fraud testified Wednesday that the regulatory agency that oversees financial markets is inept, "financially illiterate" and far too cozy with the financial titans it is supposed to be regulating.Wed, 04 Feb 2009 18:29:00 ESThttp://money.cnn.com/2009/01/30/news/davos.sec.fortune/index.htmhttp://money.cnn.com/2009/01/30/news/davos.sec.fortune/index.htmHere's a simple idea to prevent Wall Street meltdowns from happening again in the future, brought to you courtesy of the World Economic Forum in Davos: Start paying regulators much, much better.Fri, 30 Jan 2009 21:37:00 ESThttp://money.cnn.com/2009/01/27/news/economy/madoff_senate/index.htmhttp://money.cnn.com/2009/01/27/news/economy/madoff_senate/index.htmThe Securities and Exchange Commission's director of enforcement told a Senate committee Tuesday that the agency lacks the resources to pursue all the leads and tips about possible fraud that come to it.Wed, 28 Jan 2009 14:44:00 ESThttp://money.cnn.com/2009/01/22/technology/stevejobs_disclosure.fortune/index.htmhttp://money.cnn.com/2009/01/22/technology/stevejobs_disclosure.fortune/index.htmApple and its CEO-on-leave-but-still-active-sort-of Steve Jobs practically forced the Securities and Exchange Commission to look into the adequacy of the company¹s disclosures about Jobs's medical problems. But the investigation may have less to do with Jobs's health than with the SEC's.Thu, 22 Jan 2009 22:02:00 ESThttp://money.cnn.com/2009/01/15/news/economy/schapiro_hearing/index.htmhttp://money.cnn.com/2009/01/15/news/economy/schapiro_hearing/index.htmMary Schapiro, the president-elect's pick to head the Securities and Exchange Commission, vowed on Thursday to rebuild the battered agency if her nomination is approved.Thu, 15 Jan 2009 17:05:00 ESThttp://edition.cnn.com/2009/POLITICS/01/08/sloan.madoff/index.html#cnnSTCTexthttp://edition.cnn.com/2009/POLITICS/01/08/sloan.madoff/index.html#cnnSTCTextWhen stock markets are soaring, people think they're making money because they're geniuses. But when the market tanks -- which it always does, sooner or later -- people look for villains to blame for their losses.Fri, 09 Jan 2009 19:04:00 ESThttp://money.cnn.com/2009/01/05/news/newsmakers/parloff_payback.fortune/index.htmhttp://money.cnn.com/2009/01/05/news/newsmakers/parloff_payback.fortune/index.htmIn today's dire financial climate, what exactly should a CEO say when it's time to hold that quarterly earnings call with analysts and the media?Tue, 06 Jan 2009 14:15:00 ESThttp://money.cnn.com/2009/01/05/magazines/fortune/sloan_madoff.fortune/index.htmhttp://money.cnn.com/2009/01/05/magazines/fortune/sloan_madoff.fortune/index.htmYes, there really are times when life imitates art. A case in point: the Bernie Madoff scandal, in which the disgraced investor bears a startling resemblance to Zero Mostel's sleazy theater promoter in one of my favorite flicks, "The Producers."Mon, 05 Jan 2009 11:14:00 ESThttp://money.cnn.com/2008/12/18/news/economy/Lehman_insider_trading/index.htmhttp://money.cnn.com/2008/12/18/news/economy/Lehman_insider_trading/index.htmA former Lehman Brothers employee has been charged with illegal insider trading in a plot that accrued over $4.8 million in profits in a four-year span, according to a complaint filed by the Securities and Exchange Commission on Thursday.Fri, 19 Dec 2008 00:10:00 ESThttp://edition.cnn.com/2008/POLITICS/12/18/transition.wrap/index.html#cnnSTCTexthttp://edition.cnn.com/2008/POLITICS/12/18/transition.wrap/index.html#cnnSTCTextPresident-elect Barack Obama, citing the need for tighter oversight of the nation's financial markets, on Thursday named veteran regulator Mary Schapiro as his choice to head the Securities and Exchange Commission.Thu, 18 Dec 2008 20:23:00 ESThttp://money.cnn.com/2008/12/17/news/economy/Schapiro_SEC/index.htmhttp://money.cnn.com/2008/12/17/news/economy/Schapiro_SEC/index.htmPresident-elect Barack Obama is set to name a veteran financial regulator to head the Securities and Exchange Commission, two Democratic officials told CNN on Wednesday.Thu, 18 Dec 2008 03:04:00 ESThttp://money.cnn.com/2008/12/17/news/madoff/index.htmhttp://money.cnn.com/2008/12/17/news/madoff/index.htmThe lead government regulator charged with protecting investors vowed Wednesday to get to the bottom of why allegations over a decade's time about alleged fraudster Bernard Madoff were not fully explored.Wed, 17 Dec 2008 23:32:00 ESThttp://edition.cnn.com/2008/POLITICS/12/16/coffee.madoff/index.html#cnnSTCTexthttp://edition.cnn.com/2008/POLITICS/12/16/coffee.madoff/index.html#cnnSTCTextSeventy years ago in 1938, Richard Whitney, the chief executive of the New York Stock Exchange (NYSE), was sentenced to 40 months in Sing Sing for embezzling funds from clients, including the widows and orphans benefit fund of the NYSE.Wed, 17 Dec 2008 12:36:00 ESThttp://money.cnn.com/2008/10/29/news/fair.value.fortune/index.htmhttp://money.cnn.com/2008/10/29/news/fair.value.fortune/index.htmFair value accounting is still fair game for attack, but there may be more common ground than imagined between critics and proponents of the rules governing how financial firms value the securities they hold.Fri, 31 Oct 2008 14:23:00 EDThttp://money.cnn.com/2008/10/27/news/accounting.hotseat.fortune/index.htmhttp://money.cnn.com/2008/10/27/news/accounting.hotseat.fortune/index.htmAre well-intentioned but misguided accounting rules intensifying the financial crisis?Wed, 29 Oct 2008 19:52:00 EDThttp://money.cnn.com/2008/10/26/magazines/fortune/sloan_accounting.fortune/index.htmhttp://money.cnn.com/2008/10/26/magazines/fortune/sloan_accounting.fortune/index.htmMark to market is a business rarity - an accounting term that draws reactions from people who don't know spreadsheets from bedsheets. Mark to market, which we'll call MTM, evokes images of Enron's made-up profits and the other corporate scandals that marred the first years of this decade. Not pretty.Mon, 27 Oct 2008 16:07:00 EDThttp://money.cnn.com/2008/10/02/markets/thebuzz/index.htmhttp://money.cnn.com/2008/10/02/markets/thebuzz/index.htmRepublican presidential candidate John McCain caused some waves last month when he said that if he is elected to the White House, he'd fire SEC chairman Christopher Cox.Thu, 02 Oct 2008 16:51:00 EDThttp://money.cnn.com/2008/10/01/news/economy/mark_to_market/index.htmhttp://money.cnn.com/2008/10/01/news/economy/mark_to_market/index.htmIt's easy to understand why the proposal to spend $700 billion in taxpayer money to rescue banks would inspire impassioned debate in Washington.Thu, 02 Oct 2008 00:35:00 EDThttp://www.time.com/time/business/article/0,8599,1843519,00.html?xid=feed-cnn-topicshttp://www.time.com/time/business/article/0,8599,1843519,00.html?xid=feed-cnn-topicsThe head of the Securities and Exchange Commission has been criticized for not doing enough to stave off the market crisis, but the easy target probably doesn't deserve all the hits he's takingTue, 23 Sep 2008 07:30:00 EDThttp://money.cnn.com/2008/09/19/markets/thebuzz/index.htmhttp://money.cnn.com/2008/09/19/markets/thebuzz/index.htmRandy Newman once famously sang that short people got no reason to live. Apparently, SEC chairman Christopher Cox feels the same way about short sellers.Fri, 19 Sep 2008 22:59:00 EDThttp://money.cnn.com/2008/02/15/smbusiness/rule_144_small_cap.fsb/index.htmhttp://money.cnn.com/2008/02/15/smbusiness/rule_144_small_cap.fsb/index.htmA tidal wave of small-cap stock liquidity hits today as changes take effect to the Securities and Exchange Commission's Rule 144, shortening the holding period for investors with restricted securities from one year to six months.Fri, 19 Sep 2008 18:41:00 EDThttp://money.cnn.com/2008/09/19/news/economy/sec_short_selling/index.htmhttp://money.cnn.com/2008/09/19/news/economy/sec_short_selling/index.htmThe U.S. Securities and Exchange Commission took what it called "emergency action" Friday and temporarily banned investors from short-selling 799 financial companies.Fri, 19 Sep 2008 11:41:00 EDThttp://money.cnn.com/2008/09/17/news/companies/sec_short_selling/index.htmhttp://money.cnn.com/2008/09/17/news/companies/sec_short_selling/index.htmThe Securities and Exchange Commission adopted a set of new rules Wednesday which would ultimately ban the practice of so-called "naked" short selling, possibly providing some much-needed comfort for financial markets.Wed, 17 Sep 2008 15:08:00 EDThttp://www.time.com/time/business/article/0,8599,1841324,00.html?xid=feed-cnn-topicshttp://www.time.com/time/business/article/0,8599,1841324,00.html?xid=feed-cnn-topicsWith Wall Street engulfed in crisis, the Securities and Exchange Commission is planning measures to rein in aggressive forms of short-selling that were blamed in part for the demise of Lehman BrothersMon, 15 Sep 2008 20:00:00 EDThttp://www.time.com/time/business/article/0,8599,1838368,00.html?xid=feed-cnn-topicshttp://www.time.com/time/business/article/0,8599,1838368,00.html?xid=feed-cnn-topicsFederal prosecutors and regulators on Wednesday accused two former Wall Street brokers of defrauding customers by making more than $1 billion in unauthorized purchases of securities tied to subprime mortgagesWed, 03 Sep 2008 18:00:00 EDThttp://money.cnn.com/2008/08/20/news/loeb.sec.fortune/index.htmhttp://money.cnn.com/2008/08/20/news/loeb.sec.fortune/index.htmThird Point Management, a New York hedge fund run by one of the country's most outspoken and controversial investors, has come under investigation from the Securities and Exchange Commission.Wed, 20 Aug 2008 19:17:00 EDThttp://money.cnn.com/2008/08/11/markets/short_selling/index.htmhttp://money.cnn.com/2008/08/11/markets/short_selling/index.htmShould the financial sector endure yet another harrowing period of wild market swings and rumors later this week, expect regulators to round up the usual suspects - namely, the short sellers.Tue, 12 Aug 2008 18:47:00 EDThttp://money.cnn.com/2008/07/16/markets/thebuzz/index.htmhttp://money.cnn.com/2008/07/16/markets/thebuzz/index.htmThere is a lot of negativity on Wall Street right now. But I don't think cracking down on short sellers is the solution to the market's woes.Wed, 16 Jul 2008 14:56:00 EDThttp://money.cnn.com/2008/07/14/news/boyd_sec.fortune/index.htmhttp://money.cnn.com/2008/07/14/news/boyd_sec.fortune/index.htmPsst! Here's one you can trade on: The Securities and Exchange Commission, buffeted on all sides from the great leverage collapse of 2008, is now going to get to the bottom of the age-old dilemma of the trading desk rumor.Mon, 14 Jul 2008 18:26:00 EDThttp://money.cnn.com/2008/07/08/news/economy/sec_bond_raters/index.htmhttp://money.cnn.com/2008/07/08/news/economy/sec_bond_raters/index.htmGovernment officials said Tuesday that the country's three largest credit raters failed in their reviews of subprime mortgage-backed securities.Tue, 08 Jul 2008 19:55:00 EDThttp://www.time.com/time/business/article/0,8599,1820732,00.html?xid=feed-cnn-topicshttp://www.time.com/time/business/article/0,8599,1820732,00.html?xid=feed-cnn-topicsThe pact between the Federal Reserve and the Securities and Exchange Commission should enhance regulatory cooperation between the two agencies, allowing them to more effectively carry out their regulatory duties, officials saidMon, 07 Jul 2008 19:00:00 EDThttp://money.cnn.com/2008/06/06/magazines/fortune/Man_who_beat_SEC_Demos.fortune/index.htmhttp://money.cnn.com/2008/06/06/magazines/fortune/Man_who_beat_SEC_Demos.fortune/index.htmPhil Goldstein became a hedge fund manager thanks to a pair of gray sweatpants. In the summer of 1992 the 47-year-old civil engineer walked into Las Vegas's Mirage hotel to meet his first potential investor. The shorts he was wearing didn't meet the dress code of Moongate, a Chinese restaurant where the two men had planned to meet. He thought the rule was arbitrary, so he went to a nearby gift shop, purchased a pair of sweatpants, changed into them, and returned to the restaurant. After the meal he changed back into his shorts and returned the pants for store credit. When Goldstein also told the prospect that he was staying off the Strip, at a $39-a-night motel, the deal was sealed. "This is a man I want managing my money," the investor told his broker that night.Wed, 18 Jun 2008 07:48:00 EDThttp://money.cnn.com/2008/06/05/news/economy/credit_rating_deal/index.htmhttp://money.cnn.com/2008/06/05/news/economy/credit_rating_deal/index.htmIn a move to protect investors from shady security-selling practices, major credit-rating firms Moody's, S&P, and Fitch reached a cooperation agreement with New York state Attorney General Andrew Cuomo Thursday.Thu, 05 Jun 2008 16:38:00 EDThttp://www.time.com/time/business/article/0,8599,1779644,00.html?xid=feed-cnn-topicshttp://www.time.com/time/business/article/0,8599,1779644,00.html?xid=feed-cnn-topicsSecurities regulators on Wednesday charged Broadcom Corp. co-founders Henry T. Nicholas III and Henry Samueli with falsifying the company's reported incomeThu, 15 May 2008 00:00:00 EDThttp://money.cnn.com/2008/04/29/news/companies/McLean_Bulldog_Shorts_Story.fortune/index.htmhttp://money.cnn.com/2008/04/29/news/companies/McLean_Bulldog_Shorts_Story.fortune/index.htm"This is indeed a concern and we will tackle it." That was SEC chairman Christopher Cox's handwritten note to a senator worried that companies were retaliating against analysts who produced research critical of them.Wed, 30 Apr 2008 11:46:00 EDThttp://money.cnn.com/2008/02/08/news/companies/sec_merrill/index.htmhttp://money.cnn.com/2008/02/08/news/companies/sec_merrill/index.htmIn a possible antecedent to a criminal investigation, the Justice Department has asked the Securities and Exchange Commission for information about its investigation of Merrill Lynch & Co., according to a Friday Wall Street Journal report.Fri, 08 Feb 2008 14:58:00 ESThttp://money.cnn.com/2008/02/05/news/sec_dow_jones/index.htmhttp://money.cnn.com/2008/02/05/news/sec_dow_jones/index.htmThe Securities and Exchange Commission announced Tuesday it had reached a $24 million settlement with a former Dow Jones & Co. board member and three Hong Kong residents in an insider trading suit.Tue, 05 Feb 2008 18:32:00 ESThttp://money.cnn.com/2007/12/21/news/sec_exec_pay/index.htmhttp://money.cnn.com/2007/12/21/news/sec_exec_pay/index.htmThe Securities and Exchange Commission launched an Internet tool Friday that makes it easier for investors to research and compare executive compensation.Fri, 21 Dec 2007 20:50:00 ESThttp://money.cnn.com/2007/10/31/magazines/fortune/class_action.fortune/index.htmhttp://money.cnn.com/2007/10/31/magazines/fortune/class_action.fortune/index.htmLast month the Supreme Court heard arguments in a case known as Stoneridge Investment v. Scientific-Atlanta, which may prove to be the most important securities case of the decade. Based on the Justices' questions at the Oct. 9 oral argument, a majority think investors should be barred from bringing class-action suits against third parties that allegedly helped a corporation commit a fraud on its shareholders.Thu, 01 Nov 2007 09:45:00 EDThttp://money.cnn.com/2007/09/28/news/companies/ratings_agencies.fortune/index.htmhttp://money.cnn.com/2007/09/28/news/companies/ratings_agencies.fortune/index.htmThe country's leading ratings agencies - Moody's, Standard & Poor's and Fitch - are under attack these days for fueling the subprime mortgage meltdown with excessively high ratings on mortgage-backed bonds that turned out to be bad bets.Thu, 04 Oct 2007 19:37:00 EDThttp://money.cnn.com/2007/09/26/news/companies/sec_compensation.ap/index.htmhttp://money.cnn.com/2007/09/26/news/companies/sec_compensation.ap/index.htmCompanies fretting that the SEC would be introducing new executive compensation rules this year will get a reprieve, at least temporarily, the head of the SEC division that regulates corporate finance told a group of lawyers Wednesday.Wed, 26 Sep 2007 08:18:00 EDThttp://money.cnn.com/2007/09/26/news/companies/sec_ratings/index.htmhttp://money.cnn.com/2007/09/26/news/companies/sec_ratings/index.htmLawmakers grilled credit rating agency executives Wednesday about their role in the subprime mortgage meltdown, particularly their cozy relationship with issuers of some of the securities that soured during this summer's crisis.Wed, 26 Sep 2007 07:48:00 EDThttp://money.cnn.com/magazines/moneymag/moneymag_archive/2007/10/01/100400151/index.htmhttp://money.cnn.com/magazines/moneymag/moneymag_archive/2007/10/01/100400151/index.htmIf you'd like to help thousands of people who are saving for retirement (and maybe even yourself), I have a suggestion. Tell the Securities and Exchange Commission to get off its duff and pass rules improving the disclosure investors get about variable-annuity fees.Mon, 24 Sep 2007 09:16:00 EDThttp://sportsillustrated.cnn.com/2007/football/nfl/09/24/jones.ap/index.htmlhttp://sportsillustrated.cnn.com/2007/football/nfl/09/24/jones.ap/index.htmlWASHINGTON (AP) -- The Securities and Exchange Commission on Monday charged Dwight Sean Jones, a former pro football player who manages investments for athletes, with violating securities laws by refusing to allow SEC examiners to inspect his business records.Mon, 24 Sep 2007 08:24:00 EDThttp://money.cnn.com/2007/09/20/technology/jobs/index.htmhttp://money.cnn.com/2007/09/20/technology/jobs/index.htmApple CEO Steve Jobs has been subpoenaed by the Securities and Exchange Commission to give a deposition in a stock-options backdating case against Apple's former general counsel, a person familiar with the case told The Associated Press Thursday.Thu, 20 Sep 2007 09:27:00 EDThttp://money.cnn.com/2007/09/20/news/companies/subprime_sec.ap/index.htmhttp://money.cnn.com/2007/09/20/news/companies/subprime_sec.ap/index.htmThe government is casting a wide net in its scrutiny of Wall Street banks, investors, credit-rating agencies and others in the role they played in the subprime mortgage crisis.Thu, 20 Sep 2007 05:27:00 EDThttp://money.cnn.com/2007/09/18/news/sec_hedgefunds.ap/index.htmhttp://money.cnn.com/2007/09/18/news/sec_hedgefunds.ap/index.htmThe Securities and Exchange Commission is ratcheting up scrutiny of the potential for insider trading at hedge funds.Tue, 18 Sep 2007 04:47:00 EDThttp://money.cnn.com/2007/09/07/news/economy/sec_review.ap/index.htmhttp://money.cnn.com/2007/09/07/news/economy/sec_review.ap/index.htmFederal regulators said Friday they are reviewing the role credit-rating agencies played in the mortgage market debacle for borrowers with weak credit.Fri, 07 Sep 2007 05:50:00 EDThttp://money.cnn.com/2007/08/31/news/companies/sec_letters/index.htmhttp://money.cnn.com/2007/08/31/news/companies/sec_letters/index.htmThe Securities and Exchange Commission has asked the top brass of nearly 300 U.S. companies to better explain the pay packages of top executives, according to a report Friday.Fri, 31 Aug 2007 12:12:00 EDThttp://money.cnn.com/2007/08/21/news/economy/sec_liquidity.reut/index.htmhttp://money.cnn.com/2007/08/21/news/economy/sec_liquidity.reut/index.htmThe Securities and Exchange Commission is closely watching the liquidity of the five biggest U.S. securities firms and has not seen any financial weakness among them, SEC Chairman Christopher Cox said Tuesday.Tue, 21 Aug 2007 07:51:00 EDThttp://money.cnn.com/2007/08/20/news/companies/sentinel.reut/index.htmhttp://money.cnn.com/2007/08/20/news/companies/sentinel.reut/index.htmThe Securities and Exchange Commission filed civil fraud charges on Monday against Sentinel Management Group, the cash management firm serving the U.S. futures industry that filed for Chapter 11 bankruptcy protection late on Friday.Mon, 20 Aug 2007 09:18:00 EDThttp://www.time.com/time/nation/article/0,8599,1653546,00.html?xid=feed-cnn-topicshttp://www.time.com/time/nation/article/0,8599,1653546,00.html?xid=feed-cnn-topicsA former lawyer for the agency claims his investigation into insider trading was stalled to protect a powerful executive, and a new Congressional report backs him upThu, 16 Aug 2007 17:00:00 EDThttp://money.cnn.com/2007/08/15/news/companies/take_two/index.htmhttp://money.cnn.com/2007/08/15/news/companies/take_two/index.htmTake-Two Interactive Software Inc said Wednesday it received a Wells notice from the U.S. Securities and Exchange Commission in connection with a previously disclosed investigation into the company's past stock option granting practices.Wed, 15 Aug 2007 10:45:00 EDThttp://money.cnn.com/2007/07/27/markets/bc.sec.finra.reut/index.htmhttp://money.cnn.com/2007/07/27/markets/bc.sec.finra.reut/index.htmA merger of the two major watchdogs for U.S. stock markets has received final regulatory approval, the Securities and Exchange Commission said late Thursday.Fri, 27 Jul 2007 12:08:00 EDThttp://money.cnn.com/2007/07/25/news/companies/bc.sec.proxyaccess.reut/index.htmhttp://money.cnn.com/2007/07/25/news/companies/bc.sec.proxyaccess.reut/index.htmThe Securities and Exchange Commission is expected to float two options on Wednesday as it crafts rules aimed at clarifying how investors access a company's proxy statement.Wed, 25 Jul 2007 11:06:00 EDThttp://money.cnn.com/2007/07/25/markets/sarbox_standard.reut/index.htmhttp://money.cnn.com/2007/07/25/markets/sarbox_standard.reut/index.htmThe Securities and Exchange Commission adopted Wednesday a new auditing standard that encourages a less costly approach when complying with a controversial provision of the Sarbanes-Oxley corporate reform law.Wed, 25 Jul 2007 05:19:00 EDThttp://money.cnn.com/2007/07/19/news/newsmakers/bc.dowjones.insidertrading.reut/index.htmhttp://money.cnn.com/2007/07/19/news/newsmakers/bc.dowjones.insidertrading.reut/index.htmDow Jones & Co. Inc. board member David Li, a prominent Hong Kong banker, may face civil charges in a Securities and Exchange Commission insider trading investigation linked to News Corp.'s $5 billion bid for the U.S. media company.Thu, 19 Jul 2007 09:52:00 EDThttp://money.cnn.com/2007/07/13/news/companies/mackey/index.htmhttp://money.cnn.com/2007/07/13/news/companies/mackey/index.htmThe Securities and Exchange Commission opened an informal inquiry into online posts made under a pseudonym by Whole Food's CEO John Mackey, a newspaper reported Friday.Fri, 13 Jul 2007 10:39:00 EDThttp://money.cnn.com/2007/07/05/news/companies/sec_new_century.reut/index.htmhttp://money.cnn.com/2007/07/05/news/companies/sec_new_century.reut/index.htmNew Century Financial Corp., a collapsed subprime lender that is liquidating in bankruptcy, said on Thursday the U.S. Securities and Exchange Commission has elevated its investigation of the company to formal status.Thu, 05 Jul 2007 10:24:00 EDThttp://money.cnn.com/2007/06/29/markets/bc.brookstreet.sec.reut/index.htmhttp://money.cnn.com/2007/06/29/markets/bc.brookstreet.sec.reut/index.htmThe U.S. Securities and Exchange Commission is investigating the collapse of Brookstreet Securities, a California broker-dealer that was hit by heavy losses in mortgage-backed securities this month, its president said on Friday.Fri, 29 Jun 2007 10:08:00 EDThttp://money.cnn.com/2007/06/27/news/economy/sec_advisory.reut/index.htmhttp://money.cnn.com/2007/06/27/news/economy/sec_advisory.reut/index.htmThe U.S. Securities and Exchange Commission is forming an advisory committee to study how to make the U.S. financial reporting system less complex and costly, the agency said Wednesday.Wed, 27 Jun 2007 06:36:00 EDThttp://money.cnn.com/2007/06/26/markets/bc.sec.congress.probes.reut/index.htmhttp://money.cnn.com/2007/06/26/markets/bc.sec.congress.probes.reut/index.htmThe Securities and Exchange Commission has opened 12 investigations into collateralized debt obligations (CDO) linked to the sinking value of subprime mortgages and created a working group to focus on subprime market problems, the agency said Tuesday.Wed, 27 Jun 2007 01:47:00 EDThttp://money.cnn.com/2007/06/26/markets/sec_hearing.reut/index.htmhttp://money.cnn.com/2007/06/26/markets/sec_hearing.reut/index.htmAll five commissioners of the Securities and Exchange Commission are to appear Tuesday at a Congressional hearing that is expected to explore hedge fund activities, access to corporate proxy statements and so-called soft-dollar arrangements.Tue, 26 Jun 2007 12:16:00 EDThttp://money.cnn.com/2007/06/26/markets/bc.glg.sec.reut/index.htmhttp://money.cnn.com/2007/06/26/markets/bc.glg.sec.reut/index.htmHedge fund GLG Partners agreed to pay more than $3.2 million in fines after the U.S. Securities and Exchange Commission found it had earned $2.2 million in illegal profits, the agency said Tuesday.Tue, 26 Jun 2007 07:39:00 EDThttp://money.cnn.com/2007/06/20/news/international/sec_international_accounting.reut/index.htmhttp://money.cnn.com/2007/06/20/news/international/sec_international_accounting.reut/index.htmThe U.S. Securities and Exchange Commission took a step Wednesday toward allowing foreign public companies to choose international accounting standards or U.S. rules when filing data with the agency.Wed, 20 Jun 2007 11:50:00 EDThttp://money.cnn.com/2007/06/20/news/newsmakers/enron_mcmahon.reut/index.htmhttp://money.cnn.com/2007/06/20/news/newsmakers/enron_mcmahon.reut/index.htmJeffrey McMahon, the former chief financial officer of Enron, has agreed to pay $300,000 to settle fraud charges, the Securities and Exchange Commission said Wednesday.Wed, 20 Jun 2007 10:25:00 EDThttp://money.cnn.com/2007/03/08/markets/pump_dump.fortune/index.htmhttp://money.cnn.com/2007/03/08/markets/pump_dump.fortune/index.htmTrading has been suspended on 35 stocks that were the subjects of misleading spam e-mail campaigns, the Securities and Exchange Commission said Thursday.Thu, 08 Mar 2007 12:17:00 ESThttp://money.cnn.com/magazines/fortune/fortune_archive/2006/07/24/8381684/index.htmhttp://money.cnn.com/magazines/fortune/fortune_archive/2006/07/24/8381684/index.htmA federal court recently tossed out an SEC rule requiring hedge funds to register with the agency. Now Congress is considering more expansive rules. Here's why hedge-fund regulations are being scru... Wed, 02 Aug 2006 19:39:00 EDThttp://money.cnn.com/magazines/moneymag/moneymag_archive/2006/06/01/8378658/index.htmhttp://money.cnn.com/magazines/moneymag/moneymag_archive/2006/06/01/8378658/index.htmIf you're shopping for a 529 college savings plan and a broker or adviser hands you what she says is the best product for you, can you be sure it is? As your kids might say, Yeah, well, sorta--actu... Thu, 01 Jun 2006 04:01:00 EDT