UPDATE 1-SEC, NASD probing Jefferies trader&#39;s gifts -WSJ
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US market regulators are looking into whether a Jefferies Group Inc. (JEF.N: Quote, Profile, Research) trader violated rules that prohibit expensive gift-giving in a bid to curry
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NYSE Euronext  and Australia&#39;s  ASX Ltd  may be interested in buying some or part of  Nasdaq Stock Market Inc&#39;s  stake in London Stock  Exchange Plc , a person familiar with the matter said on  Monday.
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NYSE Euronext  and  Australia&#39;s ASX Ltd  may be interested in buying part  of Nasdaq Stock Market Inc&#39;s  31 percent stake in  London Stock Exchange Plc , a person familiar with the  matter said.
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An investigation has begun into whether Wall Street bank employees are leaking information about big trades to favored clients.
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US regulators launch an inquiry into whether Wall Street's top brokers adopted trading practices which left clients out of pocket.
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The U.S. Securities and Exchange  Commission is investigating Dow Jones & Co. Inc.  board  member David Li over an insider trading case linked to News  Corp.&#39;s (NWSa.N) bid for the Wall Street Journal publisher, Dow  Jones reported on Wednesday.
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The U.S. Securities and Exchange Commission is investigating Dow Jones & Co. Inc.  board member David Li over an insider trading case linked to News Corp.'s  bid for the Wall Street Journal publisher, Dow Jones reported on Wednesday.
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WASHINGTON (CBS.MW) -- In a move aimed at fostering greater transparency, the Securities and Exchange Commission voted Tuesday to consider rules that would require exchanges like the NASD and New York Stock Exchange to provide the agency with more
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The Federal Trade Commission said yesterday it is investigating TJX Cos. in connection with a major security breach at the Framingham retailer that potentially exposed millions of customers' credit and debit card data.
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Securities regulators are probing several brokerage firms dealing with collateralized mortgage obligations, the Wall Street Journal reported on Friday.
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THE REGION Sapient Corp., a technology consulting company, said the Securities and Exchange Commission is investigating the company's stock options granting practices. Sapient will cooperate fully with the commission, the Cambridge company said in a regulatory filing. Sapient said last month that an internal review of the practices had ended and found no misconduct.
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Bear Stearns Cos  is being investigated by Massachusetts securities regulators over whether the bank improperly traded with two in-house hedge funds that collapsed last summer, the Wall Street Journal reported on Friday.
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The U.S. Securities and Exchange  Commission is investigating Dow Jones & Co. Inc. board member  David Li over an insider trading case linked to News Corp.&#39;s  bid for the Wall Street Journal publisher, Dow Jones reported  on Wednesday.
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Standard &amp; Poor&#39;s Equity Research reiterated a &quot;hold&quot; rating on Marsh &amp; McLennan (nyse: MMC - news - people ), saying the Securities and Exchange Commission has requested information regarding transactions with parties in which company insiders or major
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The U.S. Federal Trade Commission is investigating Microsoft Corp's  planned acquisition of aQuantive Inc  as well as Yahoo Inc.'s  proposed deal to take full control of Right Media Inc., The Wall Street Journal reported on Thursday.
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Hartford Life, a unit of the Hartford Financial Services Group Inc., said Friday it is being investigated by the Securities and Exchange Commission for its use of "directed brokerage" in connection with its mutual funds.
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Securities regulators are opening up yet another front in their long-running investigation of the mutual fund industry, examining brokerage firms that allegedly gave mutual fund employees lavish gifts in exchange for business, officials said yesterday.