SEC may act against exchanges
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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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WASHINGTON - Federal regulators on Tuesday proposed a plan to strengthen governance at the nation&#39;s stock exchanges and move them toward separating their self-policing function from their business operations to ensure that they serve investors&#39; interest.
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Federal regulators are planning to sanction three U.S. stock exchanges for allowing trading firms to cheat investors by allegedly failing to fully enforce their rules, according to a newspaper report Friday.
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U.S. antitrust regulators are investigating possible anti-competitive practices at the American Stock Exchange and Chicago Board Options Exchange, according to the annual report of the National Association of Securities Dealers.
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Citigroup Inc., the world&#39;s largest bank, said the US Securities and Exchange Commission may take enforcement action against Thomas Jones, who ran the company&#39;s investment-management unit.
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The U.S. Securities and Exchange  Commission is examining whether J.P. Morgan Chase & Co. should  have known that the Canary Capital Partners LLC hedge fund was  making improper trades, the Wall Street Journal reported on  Thursday.
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Morningstar Inc., the mutual fund and stock research provider, on Friday said it may face US Securities and Exchange Commission civil charges over incorrect data it published about a mutual fund.
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The U.S. Securities and Exchange  Commission is looking into possible accounting abuses involving  companies' assumptions about employee pension funds, the SEC's  top enforcement official said on Thursday.
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American International Group Inc., one of the world&#39;s largest insurance firms, said Monday that the Securities and Exchange Commission may bring a civil action against the company for alleged violations of federal securities laws regarding
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(Associated Press) The Securities and Exchange Commission will propose soon a plan to tighten governance at the nation&#39;s stock exchanges to ensure they are serving the public interest, SEC Chairman William Donaldson said Friday.
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You may want to defend yourself with defensive stocks.
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The Securities and Exchange Commission may require brokers to obtain the best prices for their clients' stock trades, a practice now followed only by the New York Stock Exchange, people familiar with the matter said yesterday.
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Freddie Mac (FRE.N: Quote, Profile, Research) , the No. 2 US mortgage finance company, on Wednesday said it may face civil action from the US Securities and Exchange Commission for possible violations of securities laws.
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American International Group Inc., the world&#39;s largest insurer, said the Securities and Exchange Commission may sue it for failing to disclose that the regulator is probing transactions with two unidentified insurers.
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THREE senior officials running one of Americaâs junior stockmarkets could face civil charges relating to its options market, following a probe by US watchdog the Securities and Exchange Commission.
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TORONTO (CP) - The Ontario Securities Commission is warning four Canadian mutual fund managers of &quot;potential enforcement proceedings&quot; for improper trading.
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The U.S. Securities and Exchange Commission (SEC) warned Lucent Technologies to expect an "enforcement action" over violations of the Foreign Corrupt Practices Act (FCPA) by executives at its Chinese operations.