For years it has been assumed that the shuttling of lawyers from the SEC (Securities and Exchange Commission) to private industry and back again has compromised SEC enforcement when a violation needs to be ruled upon.
Unfortunately, investors can also expect a tidal wave of accounting minutiae from the regulators, as the Securities and Exchange Commission (SEC) and the Financial Accounting Standards Board (FASB) get on the stick.
In 1999, the U.S. Securities and Exchange Commission (SEC) proposed and later ratified Regulation Fair Disclosure to address selective releases of material information by publicly traded companies and other issuers.
FORBES: Short-Seller Attacks Highlight Chinese Companies Social Media Shortcomings
Three weeks ago, Jeff Morgan, the President and CEO of the National Investor Relations Institute (NIRI), included an anecdote in the IR Weekly newsletter that demands particular attention as the Securities and Exchange Commission (SEC) and law enforcement continue an exhaustive and unprecedented investigation into insider trading.
The Public Company Accounting Oversight Board (PCAOB), an independent agency of the Securities and Exchange Commission (SEC) created by SOx, develops those auditing standards and regulates external auditors of public companies.
As an Indian civil servant for nearly 40 years, Mehta has held such positions as the Deputy Governor of the Indian Reserve Bank and Chairman of the Securities and Exchange Board of India (SEBI), which is the equivalent of the Securities and Exchange Commission (SEC) in the United States, among several other high-profile posts.
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Not in 2012, anyway, when securities fraud is rampant, and the Securities and Exchange Commission (SEC) is, despite the best of intentions, outgunned.
Gansman a case in which my firm appeared as counsel of record that a rule promulgated by the Securities and Exchange Commission (SEC Rule 10b5-2) recognized an often unstated reality: that family members and close personal friends have legitimate expectations of confidentiality in their communications.
FORBES: Insider Trading: Are "Relationships of Trust and Confidence" the Last Line of Defense?
Expected to testify: Securities and Exchange Commission (SEC) Chairman Christopher Cox, New York Fed President Timothy Geithner, Bear Stearns President and Chief Executive Officer Alan Swchartz and JPMorgan Chairman and Chief Executive James Dimon.
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.
The Securities and Exchange Commission (SEC) is one of the principal culprits in the financial panic of 2008.
The US Securities and Exchange Commission (SEC) said Coca-Cola did not publicly disclose the attack.
The Securities and Exchange Commission (SEC) is trying to come up with rules to implement the JOBS Act.
Investment companies are subject to stringent federal laws and oversight by the U.S. Securities and Exchange Commission (SEC).
FORBES: Why Unit Investment Trusts Can Be A Good Investment Alternative
ADRs are denominated in dollars and subject to the regulations of the U.S. Securities and Exchange Commission (SEC).
At a bare minimum, investors should try to confirm rumors with U.S Securities and Exchange Commission (SEC) filings.
The US financial regulator, the Securities and Exchange Commission (SEC), is already suing unnamed traders for insider dealing.
The Securities and Exchange Commission (SEC) has just announced new disclosure rules that expand its scrutiny of foreign firms.
She specifically nails the Securities and Exchange Commission (SEC) for letting it happen.
Long late to the game, the U.S. Securities and Exchange Commission (SEC) recently issued an alert on the custody issue.
In late March the Securities and Exchange Commission (SEC) issued a moratorium on the creation of new ETFs that use derivatives.
However, a new filing with the US Securities and Exchange Commission (SEC) shows the date has been extended by two more years.
FORBES: Microsoft Surface's Liquid Metal Is Not The Same As Apple's LiquidMetal
The Securities and Exchange Commission (SEC) announced their picks to fill three empty chairs at the PCAOB, the accounting industry regulator.
The Securities and Exchange Commission (SEC) has proposed numerous changes to this end, covering securities registration, money-market funds and capital standards for brokers.
According to Securities and Exchange Commission (SEC) filings, the company had never turned a profit since the time it was founded in 2005.
FORBES: President Obama's Green Jobs Pretense Is An Unmitigated Fiasco
Apple's figures for foreign tax appear on page 61 of its form 10-K filing with the US Securities and Exchange Commission (SEC).
After the Securities and Exchange Commission (SEC) released its May 2005 report that found significant conflicts of interest within the pension consulting industry, Reps.
The Securities and Exchange Commission (SEC) has intervened in the epic struggle between financial companies and the hedge funds that are short-selling their shares.
If regulation-hating conservatives were serious about shrinking government, they should go whole hog and press for the elimination of the Securities and Exchange Commission (SEC).
We'll begin with a study conducted by the RAND Institute for Civil Justice and commissioned by the U.S. Securities and Exchange Commission (SEC) in 2008.
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