John S.R. Shad (1923–1994), served as chairman of U.S. Securities and Exchange Commission between 1981 and 1987.
Form N-SAR of the U.S. Securities and Exchange Commission (SEC), required to be filed semiannually by investment companies (mutual funds, among others).
In 1975, the U.S. Securities and Exchange Commission exposed a scheme by United Brands Company to bribe President López with US$1.25 million, with the promise of another $1.25 million upon the reduction of certain banana export taxes.
William Lucius Cary (1910–1983) served as chairman of the U.S. Securities and Exchange Commission between 1961 and 1964.
Federal Communications Commission | European Commission | New York Stock Exchange | Royal Commission | London Stock Exchange | German Academic Exchange Service | Canadian Radio-television and Telecommunications Commission | Federal Trade Commission | Microsoft Exchange Server | Electoral and Administrative Review Commission | American Stock Exchange | United Nations Economic Commission for Europe | U.S. Securities and Exchange Commission | United States Atomic Energy Commission | Foreign exchange market | Toronto Transit Commission | International Electrotechnical Commission | Toronto Stock Exchange | Erie Canal Commission | Royal Exchange | Australian Securities Exchange | International Whaling Commission | Independent National Electoral Commission | Commonwealth War Graves Commission | Warren Commission | International Commission of Jurists | Federal Election Commission | British Transport Commission | University Grants Commission | Planning Commission |
Spitzer and later the U.S. Securities and Exchange Commission (SEC) also charged that major mutual fund groups such as Janus, Bank One's One Group, and Strong Capital Management and others facilitated "market timing" trading for favored clients.
In the investigations following 9/11, the SEC determined that an unusual number of investors had purchased put options on American Airlines immediately prior to September 11, 2001.
Walter holds a Democratic seat on the Commission, succeeding Annette Nazareth, who left the SEC in January 2008 to work in private practice.
Mr. Greenberg fought a highly publicized battle to maintain his reputation amid a civil lawsuit from New York Attorney General Elliot Spitzer and investigations by the U.S. Department of Justice and the U.S. Securities and Exchange Commission.
With expertise in compliance, IdeaPlane's platform was tailored to keep companies compliant with the regulations set forth by organizations like the U.S. Financial Industry Regulatory Authority, Financial Services Authority and U.S. Securities and Exchange Commission.
Judge Stanton is the judge in the civil complaint filed by the U.S. Securities and Exchange Commission (SEC) against Bernard Madoff.
Examining examples of willful blindness in the Catholic Church, the SEC, Nazi Germany, Bernard Madoff’s investors, BP’s safety record, the military in Afghanistan and the dog-eat-dog world of subprime mortgage lenders, the book demonstrates how failing to see—or admit to ourselves or our colleagues—the issues and problems in plain sight can ruin private lives and bring down corporations.
The U.S. Securities and Exchange Commission had an established Bounty (reward) program for more than 20 years that was designed to reward whistleblowers for insider trading tips and complaints, an Office of the Inspector General's 2013 report found there were very few payments made under the program and the Commission received very few applications from individuals seeking a bounty.
A document filed with the U.S. Securities and Exchange Commission said Tanger Properties Limited Partnership agreed to acquire "substantially all of the economic interests" in two outlet properties from Cordish Co. entities, which includes The Walk and another Cordish property in Ocean City, Maryland.
Charles S. Lobingier (1914–1924) - law professor, former Judge of the Philippine Court of First Instance and later member of the U.S. Securities and Exchange Commission
Heller Financial was purchased by GE Capital during the 2000s, sparking an insider trading investigation by the SEC when Pequot Capital Management was found to have made $18 million profit in one month in speculative purchases of massive quantities of shares just prior to Heller Financial's purchase by GE.
Robert Khuzami (born 1956), director of the Division of Enforcement of the U.S. Securities and Exchange Commission and former United States federal prosecutor and general counsel of Deutsche Bank AG
Paul S. Atkins, former commissioner of the U.S. Securities and Exchange Commission
Richard H. Walker, general counsel at Deutsche Bank and former Enforcement Director, U.S. Securities and Exchange Commission
William L. Cary (1910–1983), Chairman of the U.S. Securities and Exchange Commission