SEC&#39;s Recent Penalties Among Its Toughest
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Although the specter of a criminal prosecution of Time Warner Inc. all but vanished with yesterday&#39;s Justice Department settlement, the company&#39;s tentative $300 million agreement to settle
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Problems in the bond markets put pressure on financial firms' shares.
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The US Securities and Exchange Commission is preparing enforcement actions against the American, Philadelphia and National stock exchanges for failing to protect
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Auburn&#39;s bludgeoning of the Vols was a painful reminder that growing pains are part of the SEC schedule. As talented as Erik Ainge and Brent Schaeffer may be, neither was prepared for the kind of reality check that Auburn cashed last night.
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Risk-assessment techniques are yielding results at the Securities and Exchange Commission, as the number of enforcement referrals from SEC inspectors is up significantly in the last six months, senior SEC officials said.
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The Justice Department announced new rules yesterday that will make it harder for prosecutors to bring criminal charges against companies, bending to intense pressure from business groups that claim the government has overreached in its pursuit of financial malfeasance.
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Washington (Dec. 1, 2004) - Thanks to some fast footwork by regulators at the Securities and Exchange Commission and the Public Company Accounting Oversight Board, accounting firms and many of their smaller
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The Securities and Exchange Commission is preparing enforcement actions against three US stock exchanges -- and possibly the head of one of them -- over charges that in-house regulators failed to adequately enforce their own rules
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Sometimes, a regulatory bark is worse than its bite.
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America Online&#39;s accounting practices are under investigation by the Securities and Exchange Commission and the Justice Department.
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The Securities and Exchange Commission said on Tuesday it has created a new office in the agency to quickly distribute financial penalties to wronged investors.
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Regulatory hurdles still to be jumped
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Courts are starting to push back  against a U.S. government crackdown on corporate fraud as  prosecutors and regulators test the limits, legal experts say.
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As president of the U.S. Chamber of Commerce, Thomas J. Donohue has long been obliged to talk tough against federal regulation, especially by the Securities and Exchange Commission. But now, it's personal.
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Its latest results might be a surprise because of the challenges the company has faced this year.
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WASHINGTON -- Twenty-nine investment firms, including some of Wall Street&#39;s biggest names, have been fined a total $9.2 million by securities regulators who said they were late in reporting disciplinary history and other data about their brokers.
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Perhaps the most frustrating thing about the Packers last three games is that they have been beating themselves. Penalties have been too frequent and costly.