S.E.C. Inquiry Looks for Conflicts in Credit Rating
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The S.E.C. is looking into whether credit ratings agencies improperly inflated their ratings of mortgage-backed securities.
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The regulator said broad problems raised questions about the reliability of the mortgage finance company's management.
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State insurance commissioners in the southeast and across the US consulted with each other during a conference call and will soon form a steering committee to coordinate a multi-state effort to investigate whether or not rigged bids and price fixing are a
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New Century Financial Corp.  on Tuesday said the U.S. Securities and Exchange Commission is investigating the subprime mortgage lender, after the agency recently asked to meet with management to discuss its accounting.
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he Van Eck Associates Corporation, a manager of the Van Eck mutual funds, has said the Securities and Exchange Commission may seek civil penalties against it and two executives in connection with improper trading.
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Accounting problems at Fannie Mae, the giant mortgage company, have prompted an investigation by the Securities and Exchange Commission.
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European and U.S. regulators said Tuesday they have been investigating a possible cartel involving makers of liquid crystal display monitors.
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The S.E.C. notified the top three executives of the American Stock Exchange that they may face civil charges of failing to properly enforce the exchange's rules.
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New Century Financial Corp.  on  Tuesday said the U.S. Securities and Exchange Commission is  investigating the subprime mortgage lender, after the agency  recently asked to meet with management to discuss its  accounting.
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Rating companies began a new wave of rating cuts Thursday as they reassessed the fallout from deteriorating subprime loans, drawing increased scrutiny from investors who are questioning why the agencies failed to act earlier.
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Freddie Mac (FRE.N), the No. 2 U.S. mortgage finance company, on Wednesday said it may face civil action from the U.S. Securities and Exchange Commission for possible violations of securities laws.
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Pirate Capital is said to be under investigation by the S.E.C. on suspicion of failing to alert the commission when it was selling stock.
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WASHINGTON, Feb. 14  â The Securities and Exchange Commission has completed an investigation of Gradient Analytics and is taking no action against the firm in a case that created a furor last year over subpoenas issued by the S.E.C. to journalists, Gradient said Wednesday.
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Standard & Poorâs and the Moodyâs Corporationâs proposals to restore the credibility of their ratings have met with skepticism from some of their toughest critics.
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CHICAGO -- The Securities and Exchange Commission is investigating the investment research firm Morningstar Inc. for failing to properly correct inaccurate data it published about a mutual fund, the company disclosed yesterday.
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An investigator had serious misgivings about decisions being made on the case by senior S.E.C. officials.
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Credit cards issuers may face penalty from the regulators as credit cards solicitation is not as reliable as they are said. Consumers sometimes are not given the whole information about the possibly imposed