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I just read an article about the Madoff affair which deals with the lapses by the Securities Exchange Commission. The federal agency that should have been regulating Madoff's activities failed miserably. Full Article at HometownLife.com
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A federal judge has denied a receiver's request for payment from what authorities contend were proceeds of a Saddle River man's Ponzi scheme. Full Article at NorthJersey.com
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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. View Photo »
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In his latest note to investors Monday, Robert Cihra, analyst with Caris & Company, noted that Apple's most recent Form 10-K filing with the U.S. Securities and Exchange Commission has called for a major $1.9 billion in capital expenditures during the 2010 fiscal year
SOURCE: MacDailyNews -
A former Dick's Sporting Goods executive is facing criminal charges for insider trading as well as for more than $2 million in payments that prosecutors say he and associates received in connection with the development of new stores for the Findlay... Full Article at Pittsburgh Post-Gazette
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Good afternoon. My name is Eli, and I will be your conference operator today. At this time, I would like to welcome everyone to the LivePerson third quarter 2009 financial results conference call. Full Article at The Internet Stock Blog
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Welcome to the Plains All American Pipeline third quarter 2009 results conference call. Full Article at ETF Investor
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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. View Photo »
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The Securities and Exchange Commission should be very interested in any financial company that secretly decides a financial product is a loser and then goes out and actively markets that product or very similar products to unsuspecting customers without disclosing its true opinion
SOURCE: Kansas.com -
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Ladies and gentlemen, thank you for standing by. Welcome to the KKR Financial Holdings LLC third quarter 2009 conference call. During today’s presentation, all parties will be in a listen-only mode. Full Article at Seeking Alpha
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Shareholder equity should have been reported at negative $13,142,000 as opposed to $59,536,000. Impairments of loans were $47,108,000 more than reported. Full Article at The Port Huron Times Herald
About Securities and Exchange Commission
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The U.S. Securities and Exchange Commission (commonly known as the SEC) is an independent agency of the United States government which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets. Full Article
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Getty Images
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. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
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. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro (L) listens during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
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. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
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. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro (L) listens during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
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. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
AP Photo
Securities and Exchange Commission (SEC) Inspector General David Kotz testifies on Capitol Hill in Washington, Thursday, Sept. 10, 2009, before the Senate Banking Committee hearing regarding Bernard Madoff.
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AP Photo
Securities and Exchange Commission (SEC) Inspector General David Kotz testifies on Capitol Hill in Washington, Thursday, Sept. 10, 2009, before the Senate Banking Committee hearing regarding Bernard Madoff.
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AP Photo
SEC coordinator of officials, Rogers Redding, talks about new rules at the Southeastern Conference football Media Days in Hoover , Ala. on Thursday, July 23, 2009.
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Securities and Exchange Commission (SEC) Chairwoman Mary Schapiro (L) and Commodity Futures Trading Commission Chairman Gary Gensler testify before the Senate Banking sub-committee hearing on 'Over-the-Counter Derivatives Oversight' on June 22, 2009 on Capitol Hill in Washington.
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AP Photo
Securities and Exchange Commission (SEC) Chair Mary Schapiro speaks about executive compensation, Wednesday, June 11, 2009, at the Treasury Department in Washington.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar listens to a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar pauses while answering a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question in his office during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question in his office during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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AP Photo
In this March 11, 2009 file photo, Securities and Exchange Commission (SEC) Chairman Mary Schapiro, testifies on Capitol Hill in Washington.
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AP Photo
In this March 11, 2009 file photo, Securities and Exchange Commission (SEC) Chairman Mary Schapiro, testifies on Capitol Hill in Washington.
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AP Photo
Securities and Exchange Commission (SEC) Chair Mary Schapiro, testifies on Capitol Hill in Washington, Wednesday, March 11, 2009, before the House Appropriations subcommittee hearing on the SEC and the financial crisis.
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AP Photo
Securities and Exchange Commission (SEC) Chair Mary Schapiro, testifies on Capitol Hill in Washington, Wednesday, March 11, 2009, before the House Appropriations subcommittee hearing on the SEC and the financial crisis.
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AP Photo
Securities and Exchange Commission (SEC) Division of Enforcement Director Linda Thomsen testifies on Capitol Hill in Washington, Tuesday, Jan. 27, 2009, to testify before the Senate Banking Committee hearing on Bernard Madoff.
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AP Photo
Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations Director Lori Richards, testifies on Capitol Hill in Washington, Tuesday, Jan. 27, 2009, to testify before the Senate Banking Committee hearing on Bernard Madoff.
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AP Photo
Securities and Exchange Commission (SEC) Director, Office of Compliance Inspections and Examinations, Lori Richards, arrives on Capitol Hill in Washington, Tuesday, Jan. 27, 2009, to testify before the Senate Banking Committee hearing on Bernard Madoff.
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Getty Images
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. The meeting was to discuss possible measures to limit the short selling of stocks.
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In his latest note to investors Monday, Robert Cihra, analyst with Caris & Company, noted that Apple's most recent Form 10-K filing with the U.S. Securities and Exchange Commission has called for a major $1.9 billion in capital expenditures during the 2010 fiscal year
SOURCE: MacDailyNews -
The Securities and Exchange Commission should be very interested in any financial company that secretly decides a financial product is a loser and then goes out and actively markets that product or very similar products to unsuspecting customers without disclosing its true opinion
SOURCE: Kansas.com -
The definitive proxy statement has been filed with the Securities and Exchange Commission for our 2009 Annual Meeting of Stockholders and I encourage stockholders to review the filing and vote on the proposals
SOURCE: RedOrbit -
Galleon and New Castle bought AMD shares in hopes of profiting when the deal was announced, according to the criminal complaint and a civil action by the Securities and Exchange Commission
SOURCE: The Big Money -
When the true facts are known, the court will see that Mr. Picower was deceived by Bernard L. Madoff like the (U.S. Securities and Exchange Commission) and thousands of other investors
SOURCE: Palm Beach Post -
The Securities and Exchange Commission has hired a 29-year-old Goldman Sachs alumnus as managing executive of its enforcement division.
SOURCE: FRC Blog -
Rockefeller's greed eventually backfired, leading to 'Teddy Roosevelt's trust-busting crusade,' which broke up Standard Oil. But Goldman has Washington wired with its friends, from Treasury Secretary Tim Geithner to the new head of enforcement at the Securities and Exchange Commission -- a Goldman alum....
SOURCE: Huffington Post -
We’re here because the defendant lied to the Securities and Exchange Commission, lied to Broadcom accountants, and most importantly, lied to Broadcom’s investors, and there were thousands of them
SOURCE: The Orange County Register -
The people who could change the way servicers are doing business -- Congress, the Administration, and the Securities and Exchange Commission -- and the market participants who set the terms of engagement -- credit rating agencies and bond insurers -- have failed to provide servicers with the necessary i...
SOURCE: Consumer Affairs -
The Securities and Exchange Commission will investigate whether anybody intended to cause trouble in the trading, which is illegal
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The placement agent industry has been a focus of state authorities and the Securities and Exchange Commission over the last year, and we believe it prudent to conduct a full review of the matters related to these recent disclosures to us
SOURCE: Los Angeles Times -
organizations will play a more prominent role in the study of economic activity. The organization of the government itself is something which we ought to examine in a more self-conscious way the Federal Reserve and the Treasury and the Securities Exchange Commission ... The mission that each of them has...
SOURCE: The Tennessean -
We now know there were five guys from these investment banks, Goldman Sachs and Hank Paulson [former Treasury Secretary and former CEO of Goldman] involved, who went to Christopher Cox, Chairman of the Securities and Exchange Commission, and said `we don’t need any reserves requirements [on derivatives]...
SOURCE: National Post -
A team of the US capital market regulator, Securities and Exchange Commission, has also completed its probe in India into the multi-crore fraud case. The SEC team held discussions with the investigating CBI officials. Officials from both sides also discussed the role of auditors in the scam
SOURCE: Asian Age -
We strongly disagree with the trustee's allegations, which are entirely baseless ... Mark and Andrew Madoff had no prior knowledge of Bernard Madoff's crimes and contacted the US Department of Justice and the Securities and Exchange Commission immediately after their father told them he had defrauded hi...
SOURCE: Guardian Unlimited -
We are already working with the Securities and Exchange Commission (SEC), the Nigerian Stock Exchange (NSE), Nigeria Deposit Insurance Corporation, Nigeria Financial Intelligence Unit and National Insurance Commission on inter-agency cooperation on the implementation of consolidated supervision for the ...
SOURCE: AllAfrica.com -
We have at all times operated, and will continue to operate in full compliance with the rules and regulations of the Securities and Exchange Commission
SOURCE: ProPublica -
Treasury's proposal would retain the SEC's anti-fraud authority over all securities-related swaps, but unfortunately does not currently provide the tools needed to adequately police all these swaps
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This is the SEC who just gave Bank of America a $33m slap on the wrist, of course to be paid by the shareholders, for hiding $3.6 billion in bonuses.
SOURCE: The Business Insider -
Sadly, the rise of super-sized swindlers like Madoff and Chais was inevitable given the mindless deregulation-mania of the last decade -- abetted and made possible by a complicit Congress, SEC, and inattentive White House
SOURCE: The Business Insider -
Many rebalancing programs incur trading costs that are prohibitively expensive. In fact, the aggregate costs of rebalancing sometimes exceed the benefits gained from a change in allocation strategy ... UCCS provides the functionality to eliminate unnecessary brokerage expense and trading risk by enablin...
SOURCE: PR-Inside.com -
If you look at the SEC West, everyone is fighting, and there is no clear-cut favorite in the group ... Each week you have to be prepared because any team on this side of the conference can beat you. They're a tremendous team. I understand this is going to be a huge game for us.
SOURCE: Montgomery Advertiser -
Our goal is to win the SEC championship ... That's our ultimate goal. We feel like if we're the champions of the best conference in college football, then we should have the opportunity to play for it all.
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