Only the U.S. Securities and Exchange Commission and a Harvard Business School professor, a member of the Squam Lake Group, were there to address lingering concerns.
The six defendants in the U.S. District Court for the Eastern District of New York had claimed that prosecutors withheld testimony from the U.S. Securities and Exchange Commission that would have shown the business information obtained from the squawk boxes loudspeakers connected to intercoms that broadcast information about trades was not confidential.
Mary Schapiro is leaving the Securities and Exchange Commission with a long list of unfinished business.
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Concerns about the dual role and influence of Merrill and other pension advisers are coming to the fore because of the Securities and Exchange Commission examination of the pension-consulting business in general.
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Mr Madoff's investment business was overseen by the Securities and Exchange Commission (SEC), but it failed to carry out any examinations despite receiving complaints from investors and rivals since as long ago as the late 1990s.
In that regard, utility deals need approval from the public service commissions of each jurisdiction in which the combined entity is to do business, as well as the Securities and Exchange Commission, the Federal Energy Regulatory Commission and the Federal Trade Commission.
The U.S. Securities and Exchange Commission is casting a skeptical eye on the mutual fund business for billing small investors millions of dollars per year to underwrite its lobbying activities.
Keenan chair in finance at the USC Marshall School of Business and served as chief economist of the Securities and Exchange Commission between 2002 and 2004.
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As a result of a 2011 court ruling that overturned Securities and Exchange Commission (SEC) rules mandating universal proxy access, the Business Roundtable and the national Chamber of Commerce prevailed in their mistaken defence of corporations.
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Listed companies must satisfy not only the Department of Justice, but also the Securities and Exchange Commission, which enforces the FCPA provisions requiring accurate records of all business dealings (to deter or detect illicit payments).
Now, the Securities and Exchange Commission plans to require foreign companies listing in the US to disclose their business interests in those countries.
Panic's connections in Eastern Europe have been vital to ICN's international pharmaceutical business, but he has been under investigation by the Securities and Exchange Commission for years.
That is the conclusion of Joseph Grundfest, a securities class-action expert, professor of law and business at Stanford Law School and former commissioner at the Securities and Exchange Commission.
The Securities and Exchange Commission recently said that it is looking more closely at foreign firms doing business in rogue nations such as Sudan, Iraq and Libya to ensure the firms fully disclose the financial risks when attempting to sell securities to U.S. investors.
Aides familiar with late drafts of the president's speech also said Bush will make a spirited defense of his administration's enforcement efforts -- an bid to counter Democratic efforts to paint the White House as too cozy with big business and, more specifically, to defuse calls for Securities and Exchange Commission Chairman Harvey Pitt to resign.
It was conducted by University of Southern California business professor Kevin Murphy, based on company filings with the Securities and Exchange Commission.
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Rivera came to an end yesterday when a federal judge in Mississippi granted the Securities and Exchange Commission a summary judgment against Rivera, barring him forever from the penny-stock business.
The US financial watchdog, the Securities and Exchange Commission, has also filed civil fraud charges against a number of Bernard Madoff's business associates and investment advisers who channelled billions of dollars into his funds.
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