Securities overseers to join operations
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NYSE Group Inc. and the NASD agreed to form a single regulator for the securities industry, ending a turf war to cut compliance costs for Wall Street firms and better police ever-more complex financial markets.
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In their latest market-timing fraud case, Massachusetts securities regulators yesterday said employees in the Boston office of brokerage giant A.G. Edwards Inc. made billions of dollars of improper trades in mutual funds for two hedge funds with the approval of superiors at the St. Louis company.
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Politicians, regulators and financial specialists outside the United States are seeking a role in the oversight of American markets, banks and rating agencies.
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If you want to keep the right to influence your companies, let the SEC know.
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WASHINGTON -- All five members of the Securities and Exchange Commission are being asked by Congress to defend the watchdog agency against accusations that it may be tilting toward business interests and away from investors.
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The Securities and Exchange Commission on Tuesday proposed that stock markets disclose more information about their operations, including executive pay and regulatory programs.
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Consolidation in the security sector continued last week as three firms planned a merger to form a new security giant offering global services.
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The nation&#39;s stock exchanges would be forced to tighten their governance and move toward separating their self-policing function from their business operations under a plan proposed by federal regulators yesterday.
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Bank of America, the Credit Suisse Group and UBS announced yesterday that they would join five other banks as members of a private system that lets institutional investors trade unregistered securities.
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BOCA RATON Ã - A year ago, Securities and Exchange Commission Chairman William Donaldson promised brokerage executives that his agency would cut wrongdoers from the industry the way a surgeon cuts disease from a patient.
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The Steelworkers union has an investment banker working down the hall from its president. A Service Employees International Union organizer is becoming an expert on leveraged buyouts. The Machinists are loading up their research department with MBAs.
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The U.S. presidential election in  November could force change at the top of the Securities and  Exchange Commission and help decide the fate of a reform effort  to give shareholders more boardroom power.
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Houston: After HR, Finance and Accounting and supply chain Management, large corporations and government agencies are turning to outside contractors for security.
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Net overseer moves toward approving industry-specific .post, .travel.
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The Boston office of the Securities and Exchange Commission is conducting a &quot;mini-sweep&quot; of about two dozen mutual fund companies, to hunt for any improper trading by fund managers, traders, and other high-ranking insiders over the past three years, two SEC officials confirmed.
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Sarbanes-Oxley is a powerful tool for the SEC. It could also be very helpful for corporate raiders.
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The Securities and Exchange Commission is increasing its scrutiny of the potential for insider trading at hedge funds.