SEC Chief Seeks Action On Board Nominations
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Securities and Exchange Commission Chairman William H. Donaldson said yesterday that he wants to move ahead this year with a plan that would allow dissatisfied shareholders to propose board candidates under limited conditions.
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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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Billionaire investor Carl Icahn said on   Thursday he is seeking approval from shareholders of ImClone   Systems Inc. IMCL.O to remove six directors from its board,   including the chairman and the interim chief executive, and   bring in one of his own nominees.
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The staff of the U.S. Securities and Exchange Commission is considering recommending a civil injunction and/or administrative proceedings against Citigroup Asset Management, Citicorp Trust Bank, former asset management unit Chief Executive Thomas Jones and three other people, Citigroup  said on Friday.
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The U.S. Securities and Exchange  Commission has asked Morgan Stanley  Chief Executive John  Mack to testify regarding what role he may have played in an  insider trading case involving hedge fund Pequot Capital,  Morgan Stanley said on Friday.
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Citigroup Inc. on Friday said US securities regulators are thinking of recommending enforcement proceedings against the former head of Citigroup Global Investment Management.
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Like cicadas, debates about corporate governance pop up periodically with a great deal of whir and buzz. In 1992, for example, the business community protested Securities and Exchange Commission Chairman Richard C. Breeden&#39;s push for ...
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Expressing impatience with the Securities and Exchange Commission, lawmakers said in a hearing yesterday that they will act to force stronger oversight of the influential credit rating business if the agency doesn&#39;t soon move on its own.
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Rather than rapping knuckles after abuse is uncovered, chairman William H. Donaldson wants the SEC staff to work with and get to know Wall Street well enough to get the jump on problems before  investors lose money.
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Hewlett-Packard Co.'s board will file a statement with the Securities and Exchange Commission, notifying investors that the computer maker's board will refuse to nominate one director for re-election because he leaked confidential information to the media.
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Dow Jones board members are meeting with billionaire Ronald W. Burkle in an effort to hunt for alternatives to a takeover by Rupert Murdochâs News Corporation.
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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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The board of Bank of America Corp.'s Nations Funds has asked most of its longstanding members to step down in a house-cleaning effort aimed at satisfying New York Attorney General Eliot Spitzer, who last year accused the trustees of allowing a hedge fund to improperly trade its funds.
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Under pressure to defend a series of actions that critics call harmful to investors, the Securities and Exchange Commission chairman began a congressional oversight hearing yesterday by exchanging a handshake with a Massachusetts Democrat and a pat on the back with a Georgia Republican.
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The Securities and Exchange Commission unanimously proposed rules yesterday that would require a majority of board members at the nation&#39;s stock exchanges to be independent
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If you want to keep the right to influence your companies, let the SEC know.
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DAVOS, Switzerland  - U.S. financial regulators  need to be ready in case of a crisis in the hedge fund industry  and will amend rules if necessary, the head of the Securities  and Exchange Commission said on Saturday.