Company: Securities and Exchange Commission

1606 results found

Four brokers charged in “squawk box” case

Day trader paid brokers for live access to brokerage firms’ internal communications systems

By: James Langton
August 15, 2005 August 15, 2005
11:35

Former Citigroup executives facing fraud charges

SEC files civil complaint over transfer agent profit

By: James Langton
August 9, 2005 August 9, 2005
10:10

Cox sworn in as SEC chairman

SIA congratulates chief regulator

By: James Langton
August 3, 2005 August 3, 2005
15:55

U.S. Senate confirms Cox as SEC chairman

SIA looking for relief from unnecessary regulation

By: James Langton
August 2, 2005 August 2, 2005
09:30

SEC replacements announced

Bush nominates Campos and Nazareth

By: James Langton
July 25, 2005 July 25, 2005
07:27

CIBC settles with U.S. regulators on market timing

Bank to pay US$125 million

By: IE Staff
July 20, 2005 July 20, 2005
10:10

SEC settles with AIM executives over market timing

Former AIM Distributors CEO fined US$125,000

By: James Langton
July 19, 2005 July 19, 2005
15:35

Royal Group under investigation by SEC

U.S. regulator looking at accounting practices

By: IE Staff
July 11, 2005 July 11, 2005
15:40

SEC issues “auto-trading” alert

Regulator files charges regarding allegedly misleading performance projections

By: James Langton
July 4, 2005 July 4, 2005
12:55

Trio of officers leaving SEC

Derby, Well, and Hall announce departures

By: IE Staff
July 4, 2005 July 4, 2005
12:30