These have been brave actions, signalling a new confidence on the part of the securities commission.
The Securities Commission's report describes ASEA as deliberately hiding from its own members a relationship with Nationwide that was highly lucrative for the union.
In January, Goldman Sachs was granted licenses by the Securities Commission in Malaysia to set up fund management and investment advisory services in Malaysia.
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At the same time Citi announced it had been granted a brokerage license by the Securities Commission of Malaysia to set up brokerage operations in Malaysia.
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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
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%.
"Nationwide is fully aware of the issues currently under investigation by the Alabama Securities Commission and the Attorney General and has fully cooperated with regulators regarding this matter, and will continue to do so, " the insurer said in a written statement.
The Malaysian Securities Commission has taken the view that web-based investment advisory services that would charge money should be licensed separately to protect investors.
An earlier investigation by the state Securities Commission found that the actions of the association, i.e. giving investment advice for a fee, may have caused it to fall within the definition of investment adviser under Alabama law.
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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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Two days after the oil firm's IPO, the Commission on International Religious Freedom sent a letter to the Securities and Exchange Commission, the body that vets stock listings, asking the SEC to investigate the "accuracy and adequacy" of Sinopec's filing.
In the past week, the China Securities Regulatory Commission, the country's top securities watchdog, has instructed brokerage and fund-management firms across the country to examine their bond-trading books for irregularities.
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.
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.
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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The securities industry is regulated by the Securities and Exchange Commission and the Commodities and Futures Trading Commission.
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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Mary Schapiro, chairman of the Securities and Exchange Commission, the agency responsible for securities regulation, wrote a letter full of objections.
Why have the securities regulators, namely the Securities and Exchange Commission, failed to punish the Wall Street banks that fueled the mortgage crisis by underwriting toxic mortgages and selling them to the public?
Worse, it didn't own up to the spending, resulting in a slap, in the fall of 2000, from the Ontario Securities Commission, which told Pearl to expense costs as they were incurred, instead of recording them at the conclusion of a case.
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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In recent cases brought under sections 17(a)(2) and 17(a)(3) of the Securities Act, the Securities and Exchange Commission has alleged that there was fraudulent conduct but does not allege that the defendant acted with scienter.
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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So much for the DOL. The Securities and Exchange Commission, on the other hand, is highly knowledgeable about money management and securities but is subject to political pressures and has seldom ventured into pension matters.
Even regulators, such as the Securities Exchange Commission, know investors are routinely misled by past performance figures.
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It requires the Securities Exchange Commission (SEC) to revise several rules, including reinstating the uptick rule and tightening rules against naked short-selling.
"McArthur is also personally benefiting from ASEA's control of the 457 plan" in what amounts to a conflict of interest, says the Alabama Securities Commission report.
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.
The Emergency Economic Stabilization Act gave the Securities and Exchange Commission the authority to suspend the mark-to-market rules, which went into effect in the fall of 2007, just in time for the credit crisis.
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