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Company: Securities and Exchange Commission

1568 results found

Time Warner settles with SEC over fraud charges

Will pay US$300 million and restate some results

By: IE Staff
March 21, 2005 March 21, 2005
15:50

SEC adopts fund redemption fee rule

New rule governs short-term redemption fees

By: James Langton
March 14, 2005 March 14, 2005
16:25

Floor clerk charged with securities fraud

SEC says clerk tipped day traders to incoming large orders

By: James Langton
March 9, 2005 March 9, 2005
14:50

SEC adopts mutual fund redemption fee rule

Early redemption fees limited to 2% of shares redeemed

By: James Langton
March 4, 2005 March 4, 2005
16:25

U.S. regulator spending more on information technology

Efforts will lead to greater compliance, report says

By: IE Staff
February 22, 2005 February 22, 2005
16:15

SEC director stepping down

Roy led investment management division

By: IE Staff
February 18, 2005 February 18, 2005
10:10

SEC settles two more charges of market timing

Bank of American to pay US$375 million; Columbia to pay US$140 million

By: James Langton
February 9, 2005 February 9, 2005
16:30

Two Wall Street firms to pay US$80 million in IPO settlement

Goldman, Sachs & Co. and Morgan Stanley & Co. Inc will each pay US$40 million to settle SEC allegations that they improperly induced customers to bid up stock in exchange for IPO allocations.In federal district court, the Securities and Exchange Commission filed separate settled civil injunctive actions against Morgan Stanley and Goldman Sachs relating to […]

By: James Langton
January 25, 2005 January 25, 2005
16:20

SEC approves MFS “shelf space” payment plan

Sun Life unit to pay investors US$50 million

By: James Langton
January 25, 2005 January 25, 2005
11:20

Further comment needed on proposed overhaul of SRO rules, says SEC

Comment period extended to March 8

By: James Langton
January 12, 2005 January 12, 2005
10:10