The only agencies not represented are the Securities and Exchange Commission and the Office of Thrift Supervision.
The Securities and Exchange Commission (SEC) is one of the principal culprits in the financial panic of 2008.
The Securities and Exchange Commission filed civil charges against Collins as well on Tuesday.
Has the Securities and Exchange Commission ever really been effective in protecting investors from fraud?
The Securities and Exchange Commission also filed civil charges against Naseem, 37, on Thursday.
Thanks to the Securities and Exchange Commission, your phone is ringing off the hook.
The securities carried AAA ratings, and yet offered much higher yields than other AAA-rated, non-MBS securities.
In April we had filed the requisite S-1 papers with the Securities and Exchange Commission.
The lawsuit coincides with a settlement by the company and the Securities and Exchange Commission.
The Securities and Exchange Commission has filed a suit against the company, alleging fraud.
Wall Street's main lobbying group, the Securities Industry and Financial Markets Association, backed that view.
The Securities and Exchange Commission has pursued the matter along with Mr. Cuomo's office.
With a separate account, the cost basis of the securities in your portfolio is yours alone.
Moreover, reporters could not see news stories that clients read, or the securities they viewed.
The Securities and Exchange Commission has also filed a complaint against the three Comverse executives.
The Securities and Exchange Commission also filed a complaint against the three Comverse executives on Wednesday.
The complaint alleges that BofA misled shareholders and violated the Securities Exchange Act of 1934.
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Many in the securities industry are understandably concerned about the tracking function they must now perform.
The securities being sold by Chestnut are unregistered, making them exempt from SEC oversight.
The securities industry has mostly accepted that some version of basis reporting is a done deal.
He was also investigated and cleared by the Securities and Exchange Commission several times.
In other instances only disclosure to the securities regulator is required-the public never learns.
The securities are selected and weighted using the full discretion of the fund manager.
In some cases downgrades of assets that back CDOs have gutted the securities' value.
The Securities and Exchange Commission has filed civil fraud charges against a self-described Beverly Hills, Calif.
The securities class action efforts led by Belmont Holdings have so far yielded little.
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The Securities and Exchange Commission explicitly prohibits firms actively engaged in fundraising from admitting it.
These myths are propagated by the securities and money management industries, pension officials and regulators.
Overly bullish analysts and conflicts of interest have been a problem in the securities industry.
The statements came in a filing with the Securities and Exchange Commission filing late Tuesday.
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