• It is unclear how the dual regulation would work out, with the U.K.'s Financial Services Authority overseeing the London side, and the U.S. Securities and Exchange Commission and NASD overseeing the U.S. side.

    FORBES: Nasdaq Has A Trick Up Its Sleeve

  • The tool is powered by New York-based SecondMarket, an investment platform that is licensed by the U.S. Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission as a broker-dealer.

    WSJ: Raising Startup Capital From Anywhere, USA

  • Nine states, the Federal Energy Regulatory Commission and the U.S. Securities and Exchange Commission are reviewing the deal.

    FORBES: Magazine Article

  • This group is lobbying for tougher securities laws and the setting-up of a regulatory body independent of the finance ministry and modelled on America's Securities and Exchange Commission.

    ECONOMIST: Czech investment funds

  • The U.S. Securities and Exchange Commission's latest insider trading case includes the usual colorful elements--a corporate employee, suspiciously timed trading in the company stock, an offshore entity and assorted relatives allegedly benefiting from the fun.

    FORBES

  • The Supreme Court may be asked to determine the extent of the U.S. Securities and Exchange Commission's regulatory powers, for example, or to balance the interests of small and large competitors in an antitrust suit.

    FORBES: Magazine Article

  • 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.

    CNN: U.S. stocks on the Internet appeal to Vietnamese investors

  • The most recent issue contained articles about using the Internet for education and about the EDGAR database of corporate information maintained by America's Securities and Exchange Commission, all electronically linked to the resources on the network that they describe.

    ECONOMIST: From the archive

  • Meanwhile, it emerged that America's Securities and Exchange Commission was looking at a sale of shares by a member of SocGen's board made shortly before the scandal came to light.

    ECONOMIST: Business this week

  • And while a constitutional probe is on the cards, a regulatory investigation by Thailand's Securities and Exchange Commission is already underway.

    FORBES: Magazine Article

  • Having won the Enron case, the government may let civil litigators and the U.S. Securities and Exchange Commission--which brings civil, not criminal, cases--police the stock market for a while.

    FORBES: Guilty, But Not Over

  • The leaders of corporate boards, global stock exchanges and the U.S. Securities and Exchange Commission offered a bold vision of the future where equality in the boardroom translated into equality in the front office and the management ranks.

    FORBES: On the Board: A New Way Forward for Women's Corporate Leadership

  • 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

  • In a filing to the U.S. Securities and Exchange Commission, Infosys denied the woman's allegations of sexual harassment and wrongful dismissal.

    WSJ: Outsourcer Fires CEO Over Relationship

  • 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.

    FORBES: Duty, Honor, Client

  • Now, Mr. Mandl is planning for the shareholder vote and overseeing the board's dealings with the Securities and Exchange Commission, which must clear Dell's regulatory disclosures related to the deal.

    WSJ: Dell Director Becomes Middleman in Buyout Battle

  • America's Securities and Exchange Commission widened its probe into the potential wrongdoings of mutual funds .

    ECONOMIST: Yukos's woes

  • At a bare minimum, investors should try to confirm rumors with U.S Securities and Exchange Commission (SEC) filings.

    FORBES: Should You Follow Soros Out Of Gold?

  • Japan's Securities and Exchange Surveillance Commission is starting to voice its concern.

    ECONOMIST: Convertible bonds in Japan

  • Another fallen star: Linda Wachner , who led Warnaco into bankruptcy and an investigation by the U.S. Securities and Exchange Commission before leaving in 2001.

    FORBES: Magazine Article

  • Christopher Cox, head of America's Securities and Exchange Commission, said this week the incident was a reminder that hedge funds are not for all investors.

    ECONOMIST: Hedge funds: Flare-up | The

  • America's Securities and Exchange Commission, for example, involves itself only if it finds that a fund manager has claimed to comply with the standards but lied.

    ECONOMIST: Fund management

  • This week, America's Securities and Exchange Commission took steps in the right direction by proposing an increase in the power of shareholders to nominate and appoint directors.

    ECONOMIST: Bosses' pay

  • Governments concerned that their citizens might use satellite-TV dishes to view unapproved programmes or web sites can take heart from Sky Global Networks' filings with America's Securities and Exchange Commission.

    ECONOMIST: Murdoch’s big birds | The

  • America's Securities and Exchange Commission passed a new rule intended to make it easier for shareholders to remove directors at companies they feel are underperforming or paying their bosses too much.

    ECONOMIST: Business this week

  • Another fallen star: Linda Wachner , who led Warnaco (nasdaq: WRNC - news - people ) into bankruptcy and an investigation by the U.S. Securities and Exchange Commission before leaving in 2001.

    FORBES: Angels And Demons

  • America's Securities and Exchange Commission, whose failures included negligible supervision of investment banks and the Madoff scandal, has set up a new risk division packed with heavyweight thinkers such as Henry Hu, Gregg Berman and Richard Bookstaber.

    ECONOMIST: What regulators should do now

  • Meanwhile, the U.S. Securities and Exchange Commission is set to ask a U.S. bankruptcy court judge to appoint an independent examiner with expanded powers to investigate the company's collapse and potential conflicts of interest in the case.

    FORBES: Enron Probe Widens On Two Fronts

  • "Unfortunately these types of cybercrimes involving ATMs, where you've got a flash mob going out across the globe, are becoming more and more common, " said Rose Romero, a former federal prosecutor and regional director for the U.S. Securities and Exchange Commission.

    WSJ: Global network of hackers steal $45m from ATMs

  • ADRs are denominated in dollars and subject to the regulations of the U.S. Securities and Exchange Commission (SEC).

    FORBES: The ABCs Of Investing In India

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