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The following information is about Securities & Exchange Commission (Sec).

Securities & Exchange Commission (Sec) Defined

A federal agency that regulates the U.S. financial markets. The SEC also oversees the securities industry and promotes full disclosure in order to protect the investing public against malpractice in the securities markets.

This definition is in context to Finance. See more contextual defintions for Securities & Exchange Commission (Sec).


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Bailsmen

Published October 15, 2008, 12:13 pm, San Diego Reader

‘I don’t think the American taxpayer needs to be stepping in,” Treasury Secretary Henry Paulson assured the citizenry on February 27 of this year. Half a month later, the Federal Reserve bailed out Wall Street by financing a shotgun marriage of Bear Stearns to a larger firm, JPMorgan Chase.

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SEC Clears U.S. Banks to Delay Writedowns on Some Securities

Published October 15, 2008, 11:47 am, Bloomberg

Oct. 15 (Bloomberg) -- The U.S. Securities and Exchange Commission agreed to back an effort by banks that may delay writedowns on some securities tied to losses that have cost companies more than $640 billion.

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AMF: Use Of Internal Valuations For Certain Assets Justified

Published October 15, 2008, 11:45 am, Nasdaq

PARIS -(Dow Jones)- French stock market regulator the Autorite de Marches Financiers, or AMF, said Wednesday the use of internal models instead of mark- to-market values for certain financial instruments is justified.

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ES Bancshares, Inc. Announces Exercise of 102,038 Warrants

Published October 15, 2008, 11:44 am, Business Wire via Yahoo! Finance

NEWBURGH, N.Y.----ES Bancshares, Inc. announced today that during the quarter ended September 30, 2008, there were 102,038 warrants exercised at an exercise price of $6.75, which raised $688,757 in gross proceeds for the Company.

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Tronox Announces Increases in Titanium Dioxide Prices in Europe

Published October 15, 2008, 11:00 am, PR Newswire via Yahoo! Finance

Tronox Incorporated , on behalf of its subsidiary companies, today announced that prices for all TRONOX® titanium dioxide grades sold in the Euro markets will increase by euro 150 per tonne and all grades sold in Eastern Europe and Russia will increase by US$150 per tonne, effective Oct. 15, 2008, or as contracts allow.

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U.S. Chamber Seeks Guidance For Fair-Value Accounting

Published October 15, 2008, 10:14 am, Nasdaq

WASHINGTON -(Dow Jones)- The biggest U.S. business group is asking U.S. audit overseers to follow other regulators and issue guidance allowing for more flexibility in judging the value of assets in markets where demand has dried up.

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Pros and Cons of Congressional Insider Trading Explored at New Website by ProCon.org

Published October 15, 2008, 9:52 am, PR Newswire via Yahoo! News

The economy is in serious trouble. Markets are volatile. Business practices are under increasing scrutiny. Should insider trading by Congress be prohibited? It's not.

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S3 Investment Company Updates Status of Financial Filings and Redwood Capital Reverse Merger Clients

Published October 15, 2008, 9:48 am, Marketwire via Yahoo! Finance

S3 Investment Company, Inc. and its wholly owned Redwood Capital subsidiary, which assists private Chinese companies in accessing the U.S. capital markets through reverse mergers into public companies, today updated shareholders on the status of financial filings originally scheduled to be filed by S3 this week, as well as the expected timeline for closing of Redwood Capital's pending reverse ...

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FINRA Fines SunTrust Investment Services $700,000 for Fee-Based Account and Excessive Commission Violations

Published October 15, 2008, 9:45 am, Business Wire via Yahoo! Finance

WASHINGTON----The Financial Industry Regulatory Authority announced today that it has fined SunTrust Investment Services, Inc., $700,000 for supervisory violations relating to its fee-based brokerage business and to commissions on certain low-priced stocks.

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Joanne Bamberger: Would the Economy be Different if They Had Listened to "The Girl?"

Published October 15, 2008, 9:22 am, HuffingtonPost

Even though I worked at the Securities and Exchange Commission for a number of years, trying to explain things like derivatives was never my strong suit.

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Sat Sep 27

  • S.E.C. Concedes Oversight Flaws Fueled Collapse - NYTimes.com: WASHINGTON ? The chairman of the Securities and Exchange Commission, a longtime proponent of deregulation, acknowledged on Friday that failures in a voluntary supervision program for Wall Street?s largest investment banks had contributed to the global financial crisis, and he abruptly shut the program down. The S.E.C.?s oversight responsibiliti es will largely shift to the Federal Reserve, though the commission will continue to oversee the brokerage units of investment banks. Also Friday, the S.E.C.?s inspector general released a report strongly criticizing the agency?s performance in monitoring Bear Stearns before it collapsed in March. Christopher Cox, the commission chairman, said he agreed that the oversight program was ?fundamentally flawed from the beginning.?

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  • Ban the shorts? A BIG mistake!: This is article is a reaction to the SEC's ban on short selling 799 select financial services companies (effective Sept 19 and ending Oct 2).

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Thu Aug 28

  • EDGAR Company Search: The place to come for information on listed (and private companies) in the US

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