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 Securities and Exchange Commission

"Monitoring the securities industry requires a highly coordinated effort. Congress established the Securities and Exchange Commission in 1934 to enforce the newly-passed securities laws, to promote stability in the markets and, most importantly, to protect investors. President Franklin Delano Roosevelt appointed Joseph P. Kennedy, President John F. Kennedy's father, to serve as the first Chairman of the SEC."

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Sat. November 21, 2009

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QuinStreet, a provider of online marketing services, has filed with the Securities and Exchange Commission (SEC) to raise up to $250 million in its initial ...
Kohlberg Capital Corporation's filings with the Securities and Exchange Commission, earnings releases, press releases and other financial, operational and ...
Nov 20, 2009 (Securities and Exchange Commission RELEASE/ContentWorks via COMTEX) -- SHFL | Quote | Chart | News | PowerRating -- On November 19, ...
... are looking at some of the high frequency trading that hedge funds are doing, a top Securities and Exchange Commission official said on Friday. ...
The Nigerian Securities and Exchange Commission is looking to craft derivatives legislation following a surge in local trading volume over the past year. ...
Copies of each filing may be obtained from the company or the Securities and Exchange Commission. The risks included here are not exhaustive and undue ...
This press release and certain of our other filings with the Securities and Exchange Commission contain statements that constitute "forward-looking ...
... highlight the need for more effective regulation, but the Securities and Exchange Commission may not prove an effective policeman, market analysts say. ...
AP San Diego -- The Securities and Exchange Commission has charged a San Diego County man with securities fraud, saying he targeted Somali immigrants in San ...
(rttnews) - quinstreet, Inc., in a filing with the US Securities and Exchange Commission, revealed its intention for initial public offering of common stock ...
(rttnews) - In a filing with the US Securities and Exchange Commission, AOL Inc. disclosed details of its proposed restructuring activities as part of its ...
... help the Securities and Exchange Commission with their investigation of the hedge fund, according to a letter from lawmakers made available on Thursday. ...
Celsius Holdings, Inc. (OTCBB: CSUH) today announced that it has filed a registration statement with the Securities and Exchange Commission relating to a ...
Thursday, TD Ameritrade(AMTD) disclosed plans to sell an as-yet-undetermined amount of senior debt in a filing with the Securities and Exchange Commission. ...
The Securities and Exchange Commission has charged a Florida investor relations firm with fraudulently promoting the sale of shares of a St. George company ...
(BNI: News ) said, in a filling with the US Securities and Exchange Commission, that Berkshire Hathaway Inc. (BRK.A, BRK.B) obtained an $8 billion unsecured ...
A registration statement relating to these securities has been filed with the Securities and Exchange Commission but has not yet become effective. ...
... the Company has issued a quarterly financial report which has been duly filed with the Securities and Exchange Commission ("SEC'). ...
According to the Securities and Exchange Commission, Wise used a company called Millennium Bank as a front to raise at least $68 million from more than 375 ...
BY LAURA D'ONOFRIO An Englewood lawyer with the Securities and Exchange Commission pleaded guilty Nov. 9 to conspiring with a prominent Manhattan lawyer to ...
The Nigerian Securities and Exchange Commission has called on the International Swaps and Derivatives Association to help craft derivatives legislation ...
A new notice from the Securities and Exchange Commission calls for more shareholder involvement in the adoption of CEO succession plans as a way to mitigate ...
... McNamara in a report on a rule amendment sought by the Financial Industry Regulatory Authority and approved by the Securities and Exchange Commission. ...
San Francisco, USA: the United States Securities and Exchange Commission (SEC) has charged two former executives of Tvia Incorporated, the semiconductor ...
... are included in the Offer to Purchase, dated November 18, 2009, and amd's Schedule TO which have been filed with the Securities and Exchange Commission. ...
Copies of the prospectus supplement and accompanying base prospectus relating to the offering may be obtained from the Securities and Exchange Commission ...
A registration statement relating to these securities has been filed with the Securities and Exchange Commission but has not yet become effective. ...
Copies of the prospectus supplement and accompanying base prospectus relating to the offering may be obtained from the Securities and Exchange Commission ...
The panel is trying to prod the US Securities and Exchange Commission to disclose specifically how it itends to respond to a decision the panel released in ...
Burlington's iBasis Inc., a wholesale carrier of international long-distance calls, said that it has been notified by the Securities and Exchange Commission ...
Our most recent Annual Report on Form 20-F, filed with the Securities and Exchange Commission, and other documents filed with, or furnished to the ...
(RTTNews) - According to a filing with the US Securities and Exchange Commission, billionaire George Soros' hedge fund Soros Fund Management LLC increased ...
A federal judge in Denver late Monday granted the request by the US Securities and Exchange Commission for a temporary restraining order against two ...
The Securities and Exchange Commission has struggled to keep pace with the growth of the financial markets, and only in recent years have the Justice ...
BOSTON (MarketWatch) -- Citigroup Inc. (NYSE:C) in a Securities and Exchange Commission filing Tuesday afternoon said its personnel and compensation ...
The Securities and Exchange Commission yesterday charged two Philadelphia residents and their Bala Cynwyd company in a $30 million Ponzi ...
The Securities and Exchange Commission said on monday that it had uncovered yet another Ponzi scheme, this time with a company that purported to invest in ...


 


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