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Company: Securities and Exchange Commission

1568 results found

SEC settles with firms for violating securities laws, NYSE regulations

Firms to pay more than US$240 million in penalties and disgorgement

By: IE Staff
March 30, 2004 March 30, 2004
13:40

SEC proposes mandatory redemption fees for mutual funds

Measure designed to combat market timing

By: IE Staff
February 27, 2004 February 27, 2004
08:40

SEC proposes ban on commissions to finance mutual fund distribution

Regulator seeks comment on rule change

By: IE Staff
February 25, 2004 February 25, 2004
15:40

SEC seeks comment on market reform proposals

Nasdaq voices its support

By: IE Staff
February 25, 2004 February 25, 2004
12:35

Leadership distinguishes SEC chairman’s first year in office

SIA applauds Donaldson

By: IE Staff
February 23, 2004 February 23, 2004
15:30

Former Enron CEO facing criminal charges

Skilling accused of fraud

By: IE Staff
February 19, 2004 February 19, 2004
14:55

SEC seeks to beef up fund disclosure

Also pondering ban on soft-dollar commissions

By: James Langton
February 12, 2004 February 12, 2004
16:20

SEC, NASD impose sanctions over breakpoint discounts

The U.S. Securities and Exchange Commission and the National Association of Securities Dealers are sanctioning 15 of the worst offenders for failing to deliver millions of dollars of mutual fund breakpoint discounts during 2001 and 2002.Breakpoint discounts are volume discounts that apply against funds sold on a front-end sales charge. The SEC and NASD each […]

By: James Langton
February 12, 2004 February 12, 2004
15:35

Former CIBC exec charged in U.S. mutual fund probe

SEC, Spitzer lay "late-trading" charges

By: IE Staff
February 3, 2004 February 3, 2004
15:50

SEC requests bigger budget for fiscal 2005

Regulator aims to hire 106 new employees

By: IE Staff
February 2, 2004 February 2, 2004
16:50