New York Panel Rethinks Securities Oversight
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A commission assembled revise New York Stateâs financial regulations recommended having one regulator oversee the securities industry, instead of the current four.
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Barney Frank opens hearings on investor protection amid growing scrutiny of the financial services industry.
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US securities regulators may recommend enforcement action against the former head of Citigroup Global Investment Management for his role in activities under investigation at the company&#39;s mutual fund unit, the No.
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A long-awaited report from a panel with support from Treasury Secretary Henry M. Paulson Jr. is not recommending reopening corporate accountability legislation but urges a broad overhaul of the nation's rules, enforcement policies and litigation system.
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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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A new SEC rule may not solve all your woes with brokers.
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Securities regulators yesterday voted to overhaul a corporate rule covering financial risks, reacting to intense pressure from Congress and years of criticism from industry groups who claim the directive proved too expensive and burdensome.
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The US Congress asked the Securities and Exchange Commission on Saturday to send lawmakers a report justifying a new rule forcing mutual fund boards to have independent chairmen.
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The U.S. Congress asked the Securities and Exchange Commission on Saturday to send lawmakers a report justifying a new rule forcing mutual fund boards to have independent chairmen.
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Citigroup Inc.  on Friday said U.S. securities regulators are thinking of recommending enforcement proceedings against the former head of Citigroup Global Investment Management.
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The U.S. Securities and Exchange Commission is considering softening new American corporate governance rules to ease the burden on foreign companies, its chairman said Tuesday.
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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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(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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U.S. securities regulators may  recommend enforcement action against the former head of  Citigroup Global Investment Management for his role in  activities under investigation at the company's mutual fund  unit, the No. 1 financial services firm said on Friday.
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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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US regulators calls for greater oversight of hedge funds, and more transparency over the way they work.
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The Securities and Exchange Commission has looked into whether lobbyists provided hedge funds with potentially market-moving information about a pending congressional speech.