cross-referenced news and research resources about

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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Sun. November 08, 2009

Schapiro, Clinton are richest of top Obama aides

Reuters
November 7, 2009

The Securities and Exchange Commission has been busy recently looking into all sorts of sneaky-sounding market practices that may be ...

Change sought in who oversees state pension funds

New Zealand Herald
November 6, 2009

Washington, DC - infozine - The Securities and Exchange Commission announced additional charges in its insider trading enforcement action against ...

Kohlberg Capital Corporation Delays Conference Call Originally Scheduled for ...

Reuters
November 6, 2009

The Securities and Exchange Commission has been busy recently looking into all sorts of sneaky-sounding market practices that may be ...

SEC Appoints Hedge Fund Veteran as Adviser

Reuters
November 6, 2009

WASHINGTON (Reuters) - Securities and Exchange Commission Chair Mary Schapiro, who regulates a wide swathe of Wall Street, is the richest of the Obama ...

Jazz Pharmaceuticals Announces Third Quarter 2009 Financial Results

MiamiHerald.com
November 5, 2009

... approval for the deal from its federal regulator, the Federal Housing finance Agency, in a filing Thursday with the Securities and Exchange Commission. ...

SEC's Schapiro says agency should be self-funding

Earthtimes (press release)
November 5, 2009

... that it has filed its Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2009 with the Securities and Exchange Commission (SEC). ...

FNDS3000 Corp Announces Agreement for Financing and Launches Mobile Banking ...

Washington Post
November 5, 2009

... permanently relieved of auditing requirements under Sarbanes-Oxley have repeatedly won temporary exemptions from the Securities and Exchange Commission. ...

Winthrop Realty Trust Announces Third Quarter 2009 Results and Declares Fourth ...

The Money Times
November 5, 2009

... in other press releases, written statements or other documents filed with the Securities and Exchange Commission, or in Koppers communications with and ...

Consolidated Graphics Inc. Q2 2010 Earnings Call Transcript

Seeking Alpha (blog)
November 5, 2009

As a reminder earlier this morning, we filed with the Securities and Exchange Commission

Value Line Pays $45M To Settle MF Suit

Emii.com
November 5, 2009

investment adviser, Value Line, its CEO and ex-chief compliance officer, have settled charges with the Securities and Exchange Commission

Nova Announces Record Net Income in the Third Quarter of 2009

CNNMoney.com (press release)
November 5, 2009

These factors are updated from time to time through the filing of reports and registration statements with the Securities and Exchange Commission

Committee Allows a Break on Certain Auditing Rules

New York Times
November 5, 2009

...

JP Morgan Securities Settles SEC Case

Emii.com
November 5, 2009

JP Morgan Securities and two of its former managing Directors have settled a lawsuit filed by the US Securities and Exchange Commission

Additional Individuals and Entities Charged in Galleon Insider Trading Case

BBC News
November 4, 2009

The Securities and Exchange Commission said Wednesday that JPMorgan Chase had agreed to pay $75 million in penalties and as well as forfeit $647 million in ...

Neenah Paper Renews Credit Facility Through 2013

Globe and Mail
November 4, 2009

The Securities and Exchange Commission said Wednesday that JPMorgan Chase had agreed to pay $75 million in penalties and as well as forfeit $647 million in ...

Kimco Realty Corporation Announces Third Quarter 2009 Results; Declares ...

Reuters
November 4, 2009

Copies of each filing may be obtained from the company or the Securities and Exchange Commission

Kimco Realty Corporation announces acquisition of remaining interest in 21 ...

Reuters
November 4, 2009

Copies of each filing may be obtained from the company or the Securities and Exchange Commission

Redwood Trust Reports Third Quarter 2009 Results

Reuters
November 4, 2009

...

RAE Systems Reports Third Quarter 2009 Results

CNNMoney.com (press release)
November 4, 2009

The company is actively engaged in discussions with the Department of Justice and the Securities and Exchange Commission