How To Use Securities and exchange commission In A Sentence
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In the past the Securities and Exchange Commission has come down hard on trading systems that exclusively benefit institutions.
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There is also the Securities and Exchange Commission, under the Clinton administration, that gave the board of directors of Enron one waiver after another waiver after another waiver to do their kind of schematic financing that ultimately brought them down.
CNN Transcript Mar 3, 2002
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Securities and Exchange Commission (SEC) of the speculative prevention rule called the downtick-uptick rule (which prohibited short-selling when stock prices were falling), in July 2006.
The U.S. Economy and Bad Government Policies
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He cited the example of a financial planner who gathers information from several sources, like Securities and Exchange Commission filings, public documents and the Dun & Bradstreet business database.
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On April 23rd, Republican senator Sam Brownback introduced the Congo Conflict Minerals Act of 2009, cosponsored by senators Russ Feingold and Dick Durbin, which would require American companies mining coltan, cassiterite, and wolframite to report annually to the Security and Exchange Commission (SEC), the agency that regulates American financial markets, to disclose the country of origin of the minerals to the Securities and Exchange Commission.
Global Voices in English » New bill to increase oversight of American mining companies in DRC
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He proposes that the US Securities and Exchange Commission require that all markets incorporate a "circuit-breaker" which would suspend trading on signs of an algorithm-driven crash.
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Congress on Oct. 1 approved legislation giving the Securities and Exchange Commission extensive new powers to regulate markets and combat fraud.
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Investors lost about $200 billion as the Internet bubble collapsed, executives at AOL Time Warner engaged in internecine warfare, and the Justice Department and Securities and Exchange Commission challenged the company’s accounting practices.
AOL and Time Warner to officially split
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The Securities and Exchange Commission lists seven registered stock exchanges.
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Stock market money managers are regulated by the Securities and Exchange Commission ( SEC ).
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Congress on Oct. 1 approved legislation giving the Securities and Exchange Commission extensive new powers to regulate markets and combat fraud.
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But the definition of accredited hasn't changed much since it was first introduced by the Securities and Exchange Commission more than three decades ago.
NYT > Home Page
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These risks and uncertainties are presented detail in our filings with the Securities and Exchange Commission.
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US Securities and Exchange Commission to report investment fraud.
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Shareholder resolutions fall under the aegis of the US Securities and Exchange Commission.
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But in a settlement announced on Friday, the Securities and Exchange Commission casts Mr. Ruettiger in a far less heroic light—as a key participant in a so-called pump-and-dump stock scheme that generated more than $11 million in allegedly illicit profits for a now-defunct beverage company, Rudy Nutrition.
SEC Tackles 'Rudy' in Fraud Case
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Congress on Oct. 1 approved legislation giving the Securities and Exchange Commission extensive new powers to regulate markets and combat fraud.
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Finra last year proposed to the Securities and Exchange Commission a plan that would require Finra members, such as brokerages, to supply Finra in real time with their best quotes on over-the-counter stocks.
The Pink Sheets Tries to Change Its Colors
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Congress on Oct. 1 approved legislation giving the Securities and Exchange Commission extensive new powers to regulate markets and combat fraud.
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The Securities and Exchange Commission has been able to operate at full strength by using excess fee collections from prior fiscal years.
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The term 'registered' comes from the fact that such investment advisors are registered with the Securities and Exchange Commission.
Forbes.com: News
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He was a very shrewd, very sharp head of the Securities and Exchange Commission.
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In its annual 10-K filing with the Securities and Exchange Commission in March, Crown Media said that in the past, it had been asked to comply with distributors '"MFN" clauses.
Multichannel News: Business News
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Four days later, Mr. Sjoblom told the Securities and Exchange Commission in an email that he was resigning from the case and that he and his law firm "disaffirm all prior oral and written representations" regarding Stanford Financial Group and its affiliates, according to an SEC court filing.
Top Lawyer's Withdrawal From Stanford Case Waves a Flag
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The trust would also need approval by the courts and the Securities and Exchange Commission.
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Following feedback from regulatory authorities indicating the need for further analysis and the potential for additional studies, the company plans to evaluate next steps for briakinumab, including resubmission at a later date," Abbott said a filing with the Securities and Exchange Commission.
Abbott Withdraws Applications for Psoriasis Drug
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Securities and Exchange Commission (SEC) of the speculative prevention rule called the downtick-uptick rule (which prohibited short-selling when stock prices were falling), in July
Booman Tribune
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Such dummy assets were in a $1.6 billion collateralized debt obligation, or CDO, that is the focus of an investigation by the Securities and Exchange Commission.
Rating Firms' Asset Game
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The evangelist was joined by running mate former Securities and Exchange Commission Chairman Perfecto Yasay and senatorial bets broadcast journalists Katherine "Kata" Inocencio and Alex Tinsay, Islamic expert Dr. Zafrullah Alonto, lawyers Reynaldo Princesa and Ramoncito Ocampo,
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This was followed by the Securities Act of 1934 which created the Securities and Exchange Commission.
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• If the planner is a registered investment adviser, ask for the firm's ADV form filed with the Securities and Exchange Commission.
Tips aid in finding professional adviser
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preclusive," and COMFORCE agreed to make certain disclosures to its stockholders relating to the merger, in addition to the information contained in its definitive proxy statement filed with the Securities and Exchange Commission the "SEC" on
COMFORCE Corporation Reschedules Special Meeting to December 27, 2010; Agrees to Settle Securities Litigation - Yahoo! Finance
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What started around this time last year as a U.S. Securities and Exchange Commission fulmination against an obscure bit of financial engineering—the reverse takeover—has grown into a spate of delistings, shareholder lawsuits and regulatory investigations amid auditor resignations, charges of accounting irregularities, and a short-selling frenzy.
Happy New Year, China?
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Congress on Oct. 1 approved legislation giving the Securities and Exchange Commission extensive new powers to regulate markets and combat fraud.
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Flipping was considered illegal by the Securities and Exchange Commission.
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The Securities and Exchange Commission had charged the bank with covering up for outrageous bonuses given out at Merrill Lynch as the bank acquired the failed stockbrokerage, and now it was letting the bank off the hook with a chicken-feed fine.
Robert Scheer: Letting the Banking Rats Out of the Bag
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Securities and Exchange Commission Chairman Christopher Cox announced today that the source code for the Interactive Financial Report Viewer that enables investors to analyze companies†™ interactive data filings is now available via its Web site for free use by the market.
SEC Releases Source Code for Interactive Data Viewer for Free Use by the Market « ResourceShelf
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The Securities and Exchange Commission now expects that all registrants will perform extensive valuations of acquired intangible assets on all prospective business combinations.
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Wall Street deal-maker and former U.S. car czar Steven Rattner recently reached a tentative settlement with Securities and Exchange Commission staff over his role in a pay-to-play investigation of New York State's public pension fund, according to people familiar with the matter.
From Tense Call to Legal Standoff
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On April 23rd, Republican senator Sam Brownback introduced the Congo Conflict Minerals Act of 2009, cosponsored by senators Russ Feingold and Dick Durbin, which would require American companies mining coltan, cassiterite, and wolframite to report annually to the Security and Exchange Commission (SEC), the agency that regulates American financial markets, to disclose the country of origin of the minerals to the Securities and Exchange Commission.
Global Voices in English » New bill to increase oversight of American mining companies in DRC
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And financial statements in muni-land aren't reviewed by the Securities and Exchange Commission, unlike those of public companies.
Jumping Into Munis Requires a Leap of Faith
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Factors that might cause future results to differ include, but are not limited to, the following: the successful marketing of CRINONE® 8% (progesterone gel) and STRIANT® (testosterone buccal system) in the U.S.; the successful marketing of CRINONE® 8% by Merck Serono; the timely and successful development of PROCHIEVE® 8% to reduce the risk of preterm birth in women with a short cervix in mid-pregnancy; the timely and successful completion of the ongoing Phase III PREGNANT (PROCHIEVE® Extending GestatioN A New Therapy) Study of PROCHIEVE® 8% in short cervix patients; success in obtaining acceptance and approval of new products and new indications for current products by the FDA and international regulatory agencies; our ability to obtain financing in order to fund our operations and repay our debt as it comes due; the impact of competitive products and pricing; the strength of the U.S. dollar relative to international currencies, particularly the Euro; competitive economic and regulatory factors in the pharmaceutical and healthcare industry; general economic conditions; and other risks and uncertainties that may be detailed, from time-to-time, in Columbia's reports filed with the Securities and Exchange Commission.
Undefined
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Congress on Oct. 1 approved legislation giving the Securities and Exchange Commission extensive new powers to regulate markets and combat fraud.
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In Brief Reports Citi Stake In a Securities and Exchange Commission filing, the Government of Singapore Investment Corp. reported a passive 5.3% stake in Citigroup Inc., or a beneficial stake of 303.8 million shares, including 261 million shares into which 137,600 shares of 7% noncumulative convertible preferred stock may be converted.
Singapore Fund
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Securities and Exchange Commission, including the "Risk Factors," "Management's Discussion and Analysis of Financial Condition and Results of Operations" and "Legal Proceedings" sections of our latest annual report on Form 10-K and quarterly reports on Form 10-Q, which may be viewed or obtained through the Investor Relations section of our Web site at www. saic.com.
RedOrbit News - Technology
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What began as a Securities and Exchange Commission fulmination against an obscure bit of financial engineering—the reverse takeover—has grown into a spate of delistings, shareholder lawsuits and regulatory investigations amid auditor resignations, charges of accounting irregularities, and a short-selling frenzy.
China's Year of the Question Mark