Search Results | Showing 91 - 100 of 129 results for "The Securities and Exchange Commission" |
| | | ... of Treasury's Office of the Comptroller of the Currency, the Federal Reserve Board and the Securities and Exchange Commission. The legislation is now up for public consultation with the consultation window being extended until next week. Contributing ... |
| | | | ... Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency and the Securities and Exchange Commission, the most vulnerable firms will be fixed income trading houses because they draw higher proportions of their revenue from ... |
| | | | ... purportedly liquid, cash management strategy that engaged in market transactions, according to the Securities and Exchange Commission. However, in numerous communications with clients and prospective clients, they deliberately overstated the value and ... |
| | | | The Securities and Exchange Commission is proposing new rules to strengthen the regulator's oversight of investment advisers. The SEC's proposed rules will implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This includes ... |
| | | | ... the abnormal market behaviour, the US Commodity Trading and Futures Commission (CFTC) and the Securities and Exchange Commission (SEC) concluded that a large algorithmic sell order in futures markets, executed by a mutual funds manager to hedge ETF exposure ... |
| | | | ... have to cough up $2.7 million to settle SEC charges for breaching short selling rules. The Securities and Exchange Commission yesterday charged Dallas-based Carlson Capital for breaching a regulation which prevents short selling that can "reduce proceeds ... |
| | | | ... Bank of New York. "Instead, the Federal Reserve, the United States Treasury Department, the Securities and Exchange Commission, and others tried hard to save it - not for its own sake, of course, but for the sake of all the families and businesses who ... |
| | | | ... bond offerings and underfunding two of the state's largest pension funds. Mid this month, the Securities and Exchange Commission charged New Jersey with securities fraud for "misrepresenting and failing to disclose to investors in billions of dollars ... |
| | | | ... days. Lawsuit settled. Goldman Sachs scripts rose by 4.4 per cent first on speculation that the Securities and Exchange Commission (SEC) would announce a settlement of its fraud case. The SEC did after the closing bell. In settling the fraud charges ... |
| | | | ... Goldman Sachs Group is settling the government's civil fraud charges. As word spread that the Securities and Exchange Commission had scheduled a late-afternoon announcement, investors began buying on the belief that the government and Goldman Sachs had ... |
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