What is the SEC supposed to be doing while all of this is going on?
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Critics say the SEC has been dragging its feet on tighter rules on short-selling.
Until now the expense ratios published in this magazine have been the official SEC-mandated ones.
Lipper gets its numbers from the "Statement of Additional Information" that funds file with the SEC.
The SEC named Charles Ellis , an expert on money management, to found it.
Look around and you will see plenty of SEC-registered garbage trading on Wall Street.
The SEC contends that it has been monitoring the situation, as have state securities administrators.
That may be one reason why the SEC settled with him first, LeBeau says.
Why think it is an unalloyed blessing when the SEC makes public corporations publish theirs?
Blandin also points out that the SEC has already tried and failed to get a program running.
The Securities and Exchange Commission (SEC) is one of the principal culprits in the financial panic of 2008.
Thankfully, someone at the SEC ran for the fire extinguisher before the small brushfire consumed the entire market.
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Small-time frauds claiming to sell pre-IPO shares of companies like Facebook have already surfaced, according to the SEC.
Long delays are common at the SEC when filing for any new security product.
More than even the SEC's ban on short-selling bank stocks, which expires at 11:59 p.m.
Their proposed e-rally before the head of the SEC, however, may have little impact.
The SEC said Illinois didn't properly reveal the risks posed by this sophisticated accounting wrinkle.
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The SEC said the scheme used money from new investors to pay the earlier ones.
Gee noted he was chairman of the SEC during his time as Vanderbilt University chancellor.
Are they qualified to interpret a Form ADV, as filed by money managers with the SEC?
The SEC comment period on the new reporting rules is open until April 11.
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Initially, Judge Rakoff refused to approve a settlement agreed upon by the SEC and the bank.
In the past, these groups would have claimed tax-exempt status as Sec. 527 organizations.
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The SEC alone has almost 40 separate rules that it hopes to adopt before year end.
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Most of the questions were about the Waksals, but the SEC asked about Stewart, too.
Aguirre led the SEC's investigation into the suspicious trading by Pequot, including allegations of insider trading.
The bureau will have the authority to investigate and enforce violations much like the SEC.
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On a more basic level, how long does it take the SEC to process a tip?
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Well more than 120 public comment letters are now posted on the SEC Web site.
This comes as the SEC is working to close loopholes and otherwise strengthen its trading regulations.
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