Securities and Exchange Commission News on Daylife

US targets rating agencies' role in meltdown

Thu, 10 Dec 2009 02:42:01 GMT

U.S. law enforcement officials from the Securities and Exchange Commission and the Justice Department said Wednesday that their staffs are targeting the role of Wall Street rating agencies in the financial meltdown.
Source: People's Daily Online

Financial Tracking tapped by SEC

Thu, 10 Dec 2009 02:28:31 GMT

Financial Tracking Technologies Inc. has recently caught the interest of the Securities and Exchange Commission.
Source: The Connecticut Post

SEC targets rating agencies' role in meltdown

Thu, 10 Dec 2009 02:26:07 GMT

WASHINGTON (AP) — The Securities and Exchange Commission 's enforcement chief says his staff is targeting Wall Street rating agencies and their role in the financial meltdown.The three dominant agencies — Moody's Investors Service, Standard & Poor's...
Source: Newsday

Broadcom Founder's Plea Is Dismissed

Thu, 10 Dec 2009 02:02:35 GMT

Associated Press SANTA ANA, Calif. -- A federal judge on Wednesday dismissed a guilty plea by Broadcom co-founder Henry Samueli to a charge of lying to investigators in a stock options backdating probe.U.S. District Judge Cormac J. Carney said Mr.
Source: Wall Street Journal

Judge dismisses Broadcom cofounder's guilty plea

Thu, 10 Dec 2009 01:33:44 GMT

A federal judge on Wednesday dismissed a guilty plea by Broadcom co-founder Henry Samueli to a charge of lying to investigators in a stock options backdating probe.
Source: Fresno Bee

Judge dismisses Broadcom cofounder's guilty plea

Thu, 10 Dec 2009 01:28:35 GMT

SANTA ANA, Calif. A federal judge on Wednesday dismissed a guilty plea by Broadcom co-founder Henry Samueli to a charge of lying to investigators in a stock options backdating probe.
Source: San Diego Union-Tribune

SEC Probes Transactions in Search for Possible Insider Trading

Thu, 10 Dec 2009 01:15:10 GMT

By Jenny Strasburg And Kara Scannell Pfizer Inc.'s takeover of Wyeth Corp. , and Merck & Co.'s acquisition of Schering-Plough Corp. , are just two of at least nine transactions under investigation by the Securities and Exchange Commission for possible...
Source: Wall Street Journal

Ex-IBM Exec Denies SEC Charges on Galleon

Thu, 10 Dec 2009 00:44:21 GMT

NEW YORK (Reuters) - A former senior IBM Corp executive denied being involved in a sprawling hedge fund insider trading case and asked a court on Wednesday to dismiss civil charges by the U.S. Securities and Exchange Commission.
Source: ABC News

Quoted in 'Obama's Health Czar: Chief of 5 Fraudulent Health Firms'

Tue, 08 Dec 2009 15:55:54 GMT

said in Dallas Blog:

five of the companies faced allegations ranging from overcharging Medicare to failing to warn patients of the dangers of their products, according to a study by the Investigative Reporting Workshop at American University and a review by The Washington Times of U.S. Securities and Exchange Commission (SEC) records and Mrs. DeParle's financial disclosure statement.

Quoted in 'The Fed: Fed must lean against bubbles, Dudley says'

Mon, 07 Dec 2009 23:12:26 GMT

said in MarketWatch:

Limiting increases in leverage may help to prevent bubbles from being created in the first place ... It might be appropriate for the Federal Reserve -- working with functional regulators such as the Securities Exchange Commission -- to monitor and limit the buildup in leverage at the major securities firms and the leverage extended from these firms to their clients and counterparties.

Photo from Getty Images

Wed, 30 Sep 2009 19:03:21 GMT

WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro listens during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC.

Photo from Getty Images

Wed, 30 Sep 2009 19:02:38 GMT

WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro speaks during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC.

Manuel Gaite's Appointment at Securities and Exchange Commission

Tue, 17 Mar 2009 00:55:25 GMT