The Securities and Exchange Commission has proposed a new rule that might have passed you by. I'm alerting you here because it speaks volumes about where trading is going in the United States. For many, it offers new opportunities. We'll also...
Sometimes, you invest in a stock or fund that you think is going to skyrocket, only to see it end up as a real dog.
"The agreement with the SEC provides that the company must hire an 'Independent Distribution Consultant' to put together a...
In a two-hour interview in his office overlooking the Capitol building, the 55-year-old Mr. Cox said he was deeply involved the week of the Bear Stearns meltdown. He has since asked Congress to mandate the SEC's oversight of investment banks...
ATLANTA (ResourceInvestor.com) -- I’d like to comment on the Securities and Exchange Commission’s proposed naked short selling antifraud rule S7-08-08 under the Securities Exchange Act of 1934, issued in Release No. 34-57511. The Securities...
Background
U.S. Securities and Exchange Commission (commonly known as the SEC) is a United States government agency having primary responsibility for enforcing the federal securities laws and regulating the securities industry/stock market. The SEC was created by section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the 1934 Act). In addition to the 1934 Act that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes.
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Timeline
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was said in:
3 days ago from PR Newswire