S.E.C. Seeks to Curtail Investor Suits
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The Securities and Exchange Commission is promoting a legal standard that would make it harder for shareholders to win fraud lawsuits against companies and executives.
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The Securities and Exchange Commission is poised to curb fund companies from steering stock trades to brokerage firms that agree to sell their funds.
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A day after the resignation of its chairman and chief executive officer, Marsh &amp; McLennan Cos. announced on Tuesday it would stop accepting fees that had prompted a lawsuit by New York state Attorney General Eliot Spitzer.
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The proposal follows a scandal at the New York Stock Exchange and government sanctions against several other exchanges, to ensure that they serve investors' interest.
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The Supreme Court set down strict guidelines yesterday for investors who want to sue company officials for fraud, another victory for business in what has been a resoundingly successful year before the nation's highest court.
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WASHINGTON -- Federal securities regulators are moving to ease some financial-control rules for thousands of smaller public companies at the same time they look to stiffen requirements for individuals to invest in fast-growing hedge funds.
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The S.E.C. has issued a cease-and-desist order against Callan Associates for failing to tell its clients that it had a potential conflict of interest.
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The move is expected to dampen prospects for a long list of companies that have focused on taking advantage of the Chinese market.
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The Securities and Exchange Commission is considering whether to abandon an unpopular proposal that was designed in part to curtail improper mutual fund trading, according to a published report Thursday.
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The S.E.C.âs list of companies doing business in states that sponsor terrorism is being suspended after criticism from Capitol Hill.
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Proposed S.E.C. rules will allow foreign companies to raise money in the American capital market without having to comply with U.S. rules.
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The S.E.C. notified the top three executives of the American Stock Exchange that they may face civil charges of failing to properly enforce the exchange's rules.
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he Van Eck Associates Corporation, a manager of the Van Eck mutual funds, has said the Securities and Exchange Commission may seek civil penalties against it and two executives in connection with improper trading.
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Pledging to crack down on &quot;back-room deals&quot; in the insurance industry, California Insurance Commissioner John Garamendi yesterday moved to block agents and brokers from steering clients to
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Federal regulators proposed Tuesday to loosen the &quot;quiet period&quot; rule, a Depression-era regulation meant to prevent companies poised to sell stock or bonds to the public from promoting the securities.
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Business & money: Investors who buy shares in companies to agitate for change could face fines or even prosecution.
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The U.S. Securities and Exchange  Commission on Wednesday proposed stricter rules to halt  underwriting practices that artificially boost demand for  shares in initial public offerings.