Even regulators, such as the Securities Exchange Commission, know investors are routinely misled by past performance figures.
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And now, a new Securities Exchange Commission filing by the China Investment Corporation indicates that the hunt is back on in earnest.
It requires the Securities Exchange Commission (SEC) to revise several rules, including reinstating the uptick rule and tightening rules against naked short-selling.
In a filing with the Securities Exchange Commission, the Forest Hills, New York-based airline disclosed they raised their second quarter outlook for operating margins and income loss before taxes.
That being said, the current leadership of the Securities Exchange Commission is in flux, with the recent departure of Enforcement Director Robert Khuzami, Chairman Mary Schapiro, and other key officials responsible for reshaping the agency in this vein.
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These securities are being offered pursuant to an effective shelf registration statement previously filed with the Securities and Exchange Commission, and a preliminary prospectus supplement and accompanying prospectus describing the terms of the offering have been filed with the Securities and Exchange Commission.
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Lasser's dismissal followed charges by the U.S. Securities and Exchange Commission of securities fraud at Putnam, which allegedly failed to reveal trades employees conducted for personal profit and at the expense of mutual fund shareholders.
The Securities and Exchange Commission also brought securities fraud charges against two other former Countrywide executives on Thursday.
Coalition members also wrote to the heads of the New York Stock Exchange and the federal Securities and Exchange Commission.
Yesterday, the Securities and Exchange Commission charged Illinois with securities fraud for misleading municipal bond holders about the scope of its pension obligations.
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Congress, the Treasury Department, the National Association of Securities Dealers, the Securities and Exchange Commission and the Municipal Securities Rulemaking Board are weighing in, troubled by the fact that broker-sold plans may charge a load and often have annual expenses of more than 2%.
Fahy is a private securities lawyer in Fort Worth, Texas, who previously worked for the Securities and Exchange Commission and the Texas State Securities Board.
That is 10 percent of what the Fed operates on and just over half of what the Securities and Exchange Commission spends as a the securities industry cop.
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It would create a super-agency that rolls up the investor protection functions of the Securities and Exchange Commission, Commodity Futures Trading Commission, National Futures Association, FINRA and Securities Investors Protection Corp.
Whether the means involve Federal Election Commission disclosure requirements, Securities and Exchange Commission rules on shareholder resolutions, or simply tagging those with opposing views as "hate groups, " the object is clear: to limit debate by forcing one side off the playing field.
The news blog FT Alphaville got a hold of the defense filing Goldman Sach submitted last year when the Securities and Exchange Commission was investigating the complex securities transaction that is at the center of its fraud suit against the Wall Street bank.
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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The Securities and Exchange Commission, America's chief securities watchdog, has supported this effort.
Mary Schapiro, chairman of the Securities and Exchange Commission, the agency responsible for securities regulation, wrote a letter full of objections.
The independent consultants are scheduled to meet April 20 with the Securities and Exchange Commission, the National Association of Securities Dealers and the New York State attorney general.
Just weeks before, the U.S. Securities and Exchange Commission reversed a lifetime ban from the securities industry the NASD had slapped on him.
In April, the Securities and Exchange Commission filed a civil lawsuit against broker Pond Securities and several individuals.
Nine states, the Federal Energy Regulatory Commission and the U.S. Securities and Exchange Commission are reviewing the deal.
The companies will continue to file reports with the Securities and Exchange Commission, and they remain subject to federal securities laws.
Last year the Securities and Exchange Commission charged SharesPost with failing to register as a securities brokerage.
It has now been two weeks since the Securities and Exchange Commission filed its lawsuit accusing Goldman Sachs of violating securities law.
The State Securities Commission (Vietnam's equivalent of the Securities and Exchange Commission) says it has no idea how many Vietnamese are trading U.S. stocks.
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Central to the U.S. pension problem is the fact that the U.S. Securities and Exchange Commission, charged with protection of investors in the securities markets, has seldom provided advice specifically for protection of participants in pensions and the U.S. Department of Labor lacks sufficient understanding of the securities and asset management industries to provide guidance to sponsors of and participants in pensions.
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The U.S. Securities and Exchange Commission was a little slower in its review and rewriting of securities regulations to make way for exchange-traded products (ETPs).
Direct Edge, a New Jersey firm, said Friday its application for exchange status for its electronic communications networks was approved by the Securities and Exchange Commission.
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