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Showing 101 - 110 of 129 results for "The Securities and Exchange Commission"

SEC hunts BP oil spill scammers

RUTH LIEW  |  THURSDAY, 1 JUL 2010
... oil-drilling platform off the coast of Louisiana," the SEC said in a statement. "The staff of the Securities and Exchange Commission and FINRA are issuing this alert to warn investors about potential scams that exploit the Gulf oil spill and related ...

Vanguard to release 19 more ETFs

MICHAEL HOBBS  |  MONDAY, 28 JUN 2010
... has registered the 19 new funds and ETFs, in addition to the Vanguard S&P 500 ETF, with the Securities and Exchange Commission (SEC). Robin Bowerman, head of retail at Vanguard Investments Australia, said the firm wants to provide institutional clients ...

US Commission subpoenas Goldman Sachs

RUTH LIEW  |  TUESDAY, 15 JUN 2010
... production of books, records, correspondence, memoranda, papers, and documents." In April, the Securities and Exchange Commission (SEC) charged Goldman Sachs and one of its vice presidents for fraud relating to subprime mortgages. The SEC is charging ...

Market Wrap - Morning

AAP  |  MONDAY, 10 MAY 2010
... that a dealer there had mistaken billions for millions setting off the record plunge. But the Securities and Exchange Commission and the Commodity Futures Trading Commission said the agencies and exchanges were "to review the unusual trading activity" ...

Death by algorithm

BENJAMIN ONG  |  FRIDAY, 7 MAY 2010
... stock to another, from one market to another. Representatives of the major US exchanges and the Securities and Exchange Commission (SEC) are still doing the autopsy on last night's crash. But early evidence suggests that the conclusion would be "death ...

Market Wrap - Morning

AAP  |  MONDAY, 3 MAY 2010
... federal prosecutors. The storied investment bank already faces civil charges, brought by the Securities and Exchange Commission, alleging it failed to tell investors that one of its products was partially designed by a hedge fund that bet it would fail. ...

FSA starts Goldman Sachs investigation

RUTH LIEW  |  THURSDAY, 22 APR 2010
... investigation into Goldman Sachs' alleged fraud activities, following charges to the firm by the Securities and Exchange Commission in the US. The FSA said in a short statement yesterday that it will start its investigation after the SEC charged Goldman ...

Market Wrap - Midday

AAP  |  TUESDAY, 20 APR 2010
... Sachs. The Dow Jones Industrial Average closed up 73.39 points (0.67 per cent) at 11,092.05. The Securities and Exchange Commission filed civil charges against Goldman Sachs on Friday, alleging the New York investment bank misled investors about the ...

Market Wrap - Morning

AAP  |  TUESDAY, 20 APR 2010
... final trades. The climb came after the index tumbled more than 100 points on Friday after the Securities and Exchange Commission (SEC) announced civil fraud charges on Goldman. The tech-rich Nasdaq composite did not manage to make it out of the red ...

Goldman Sachs accused of fraud

SEC RELEASE  |  MONDAY, 19 APR 2010
The Securities and Exchange Commission (SEC) has charged Goldman Sachs and one of its vice presidents for fraud relating to subprime mortgages. The SEC is charging Goldman Sachs for defrauding investors by mis-stating and omitting key facts about a ...