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Showing 181 - 190 of 257 results for "Exchange Commission"

Investors lose $7m in Qld scam

ASIC RELEASE  |  THURSDAY, 18 NOV 2010
... to pay a number of investors their capital, claiming their money had been frozen by the US Securities and Exchange Commission. In December 2009, Hatchett was sentenced to nine years' imprisonment for his involvement following an FBI investigation. The ...

Demystifying the "flash crash"

JOHN MCDULING  |  WEDNESDAY, 20 OCT 2010
... 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 ...

Hedge fund adviser gets $2.7m fine

RUTH LIEW  |  FRIDAY, 24 SEP 2010
... 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 ...

Fuld me twice

JOHN MCDULING  |  THURSDAY, 2 SEP 2010
... 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 ...

SEC charges New Jersey with fraud

RUTH LIEW  |  FRIDAY, 27 AUG 2010
... 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 ...

SEC launches new divisions to protect investors

SEC RELEASES  |  TUESDAY, 20 JUL 2010
US-based Securities and Exchange Commissions has created three specialised corporate finance divisions that will oversee large financial institutions, asset backed securities and structured products. The newly created disclosure office will expand the ...

Saved by BP and Goldman

BENJAMIN ONG  |  FRIDAY, 16 JUL 2010
... 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 ...

Market Wrap - Morning

AAP  |  FRIDAY, 16 JUL 2010
... 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 ...

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 ...