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. 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. Read more at Wikipedia


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SEC to require mea culpas in some big settlements

...(AP) — The chairman of the Securities and Exchange Commission says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements. Currently the SEC allows companies and individuals to settle charges without admitting...

Jobs Act

...workers. The hope is to begin employing the unemployed while rebuilding America. However with the delays at the SEC (Securities and Exchange Commission), this law is failing to actually be written into law, which the SEC is responsible for, in the meantime...

SEC to require mea culpas in some big settlements

...(AP) — The chairman of the Securities and Exchange Commission says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements. Currently, under a longstanding practice, the SEC allows companies and individuals to...

SEC to require mea culpas in some big settlements

...(AP) — The chairman of the Securities and Exchange Commission says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements. Currently, under a longstanding practice, the SEC allows companies and individuals to...

SEC wants mea culpas in big settlements

...chairman of the Securities and Exchange Commission (SEC) says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements. Currently, under a longstanding practice, the SEC allows companies and individuals to settle...

SEC wants mea culpas in big settlements

...chairman of the Securities and Exchange Commission (SEC) says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements. Currently, under a longstanding practice, the SEC allows companies and individuals to settle...

SEC wants mea culpas in big settlements

...chairman of the Securities and Exchange Commission (SEC) says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements. Currently, under a longstanding practice, the SEC allows companies and individuals to settle...

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In a filing with the U.S. Securities and Exchange Commission, Iron Mountain, led by Chairman Richard Reese and CEO William Meaney, said the IRS formed a working group to investigate its conversion plan to a real estate investment trust.

 - Published on 2013-06-07 13:16:00 by Boston Business Journal

In a filing with the U.S. Securities and Exchange Commission, Iron Mountain, led by Chairman Richard Reese and CEO William Meaney, said the IRS formed a working group to investigate its conversion plan to a real estate investment trust.

Published by Boston Business Journal on 2013-06-07 13:16:00

Some money market funds will have to change how it sets prices for its shares under new rules proposed Wednesday by the Securities and Exchange Commission, but they will be given a break when times are bad.


 - Published on 2013-06-06 09:29:00 by New Mexico Business Weekly

Some money market funds will have to change how it sets prices for its shares under new rules proposed Wednesday by the Securities and Exchange Commission, but they will be given a break when times are bad.

Published by New Mexico Business Weekly on 2013-06-06 09:29:00

Investors could lose principal from money market investment funds that perform poorly under regulations proposed Wednesday by the Securities and Exchange Commission. - Published on 2013-06-05 13:14:00 by Economic Times

Investors could lose principal from money market investment funds that perform poorly under regulations proposed Wednesday by the Securities and Exchange Commission.

Published by Economic Times on 2013-06-05 13:14:00

Mary Jo White, chairwoman of the Securities and Exchange Commission. - Published on 2013-06-04 21:04:00 by Dealbook

Mary Jo White, chairwoman of the Securities and Exchange Commission.

Published by Dealbook on 2013-06-04 21:04:00

Computer glitches at Nasdaq delayed the start of trading and caused problems for traders buying and selling shares during Facebook's initial public offering on May 18, 2012. The  Securities and Exchange Commission found the exchange liable for the problems and ordered it to pay $10 million US. - Published on 2013-05-29 16:20:00 by CBC News

Computer glitches at Nasdaq delayed the start of trading and caused problems for traders buying and selling shares during Facebook's initial public offering on May 18, 2012. The Securities and Exchange Commission found the exchange liable for the problems and ordered it to pay $10 million US.

Published by CBC News on 2013-05-29 16:20:00

The Securities and Exchange Commission (SEC) fined the Nasdaq $10 million for violating securities laws during the May 2012 Facebook IPO.  Photo by Spencer Platt/Getty Images - Published on 2013-05-29 15:16:00 by FirstRain

The Securities and Exchange Commission (SEC) fined the Nasdaq $10 million for violating securities laws during the May 2012 Facebook IPO. Photo by Spencer Platt/Getty Images

Published by FirstRain on 2013-05-29 15:16:00

The Empire State Building, one of the world's most iconic buildings, is viewed on November 30, 2011 in New York City. Malkin Holdings LLC., the family-owned company that supervises the portfolio of office properties that includes the Empire State Building, has filed notice with the Securities and Exchange Commission acknowledging that it may become a publicly traded company. The filing could pave the way for an Initial Public Offering, or IPO, thus making the Empire State Building part of a publicly traded real estate investment company.  - Published on 2013-05-29 12:52:00 by New York Magazine

The Empire State Building, one of the world's most iconic buildings, is viewed on November 30, 2011 in New York City. Malkin Holdings LLC., the family-owned company that supervises the portfolio of office properties that includes the Empire State Building, has filed notice with the Securities and Exchange Commission acknowledging that it may become a publicly traded company. The filing could pave the way for an Initial Public Offering, or IPO, thus making the Empire State Building part of a publicly traded real estate investment company.

Published by New York Magazine on 2013-05-29 12:52:00

Steve Fishman, retiring as CEO at Big Lots, won't face enforcement action from the Securities and Exchange Commission after it closed its probe.


 - Published on 2013-05-22 09:40:00 by Business First of Columbus

Steve Fishman, retiring as CEO at Big Lots, won't face enforcement action from the Securities and Exchange Commission after it closed its probe.

Published by Business First of Columbus on 2013-05-22 09:40:00

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Quotes

Should the government ultimately prevail, the outcome of this matter could result in a material adverse effect on our results of operations in the period in which a liability would be recognized or cash flows for the period in which damages would be paid...

in United Technologies told to pay $473 million to U.S. in lawsuit
Hartford Courant - 2013-06-18 22:58:00

Should the government ultimately prevail, the outcome of this matter could result in a material adverse effect on our results of operations in the period in which a liability would be recognized or cash flows for the period in which damages would be paid...

in United Technologies told to pay $473 million to U.S. in lawsuit
Reuters Mobile - 2013-06-18 22:56:00

Should the government ultimately prevail, the outcome of this matter could result in a material adverse effect on our results of operations in the period in which a liability would be recognized or cash flows for the period in which damages would be paid...

in UPDATE 1-United Technologies told to pay $473 mln to U.S. in lawsuit
Reuters.co.uk - 2013-06-18 22:55:00

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