SEC Wants Fixes, Instead of  Fines
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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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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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The credit reporting industry is overextended, and it's up to you to fix it.
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Proposed revisions to a landmark 2002 anti fraud law will include relaxing some rules for small public companies in a bid to curb what they say have been excessive costs related to audits, the Securities and Exchange Commission's accounting chief said yesterday.
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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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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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The Securities and Exchange Commission is promoting a legal standard that would make it harder for shareholders to win fraud lawsuits against companies and executives.
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It's not necessarily time to sell when a company rolls out the pink slips.
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The Securities and Exchange Commission yesterday proposed changes to decades-old rules that would allow companies planning new stock offerings to share far more information with investors about the state of their businesses.
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WASHINGTON  - The US securities industry&#39;s self-regulatory body fined 29 firms more than 9.2 million dollars for reporting information about their brokers later than required.
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Federal regulators proposed a plan on Tuesday to strengthen governance at stock exchanges and move them toward separating their self-policing functions from business operations to ensure that they serve investors&#39; interests.
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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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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 Securities and Exchange Commission official yesterday signaled that the agency may grant foreign companies whose stock trades on U.S. exchanges a brief delay to comply with a controversial accounting reform.
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The US Securities and Exchange Commission pushed ahead on Wednesday with reforms of the $7.5-trillion mutual fund industry amid scandals that have shaken fund investors&#39; confidence.
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The U.S. Securities and Exchange  Commission on Wednesday proposed stricter rules to halt  underwriting practices that artificially boost demand for  shares in initial public offerings.
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SEC seems determined to move toward an international standard.