SEC May Bar Broker Rewards
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The Securities and Exchange Commission is expected to vote Tuesday to bar mutual fund companies from steering their stock and bond business to brokerage firms that promote the fund companies' products.
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Wachovia Corp. said the U.S. Securities and Exchange Commission may recommend enforcement action against its Wachovia Securities brokerage unit for alleged improper mutual fund trading.
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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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U.S. stocks may stall at the start of this week as investors wait for word from the Federal Reserve's final policy meeting of the year.
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U.S. regulators, led by the Securities  and Exchange Commission, are probing how financial firms priced  mortgage securities on their books and whether they should have  told investors earlier about the declining value of those  securities, The Wall Street Journal reported on Friday.
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Can American Locker lock in earnings?
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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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NASD, which is the regulatory arm of the Nasdaq stock market, and the Securities and Exchange Commission are investigating about two dozen firms, including brokerage firms and mutual fund companies, to determine whether brokers handed out expensive gifts
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Investors who want to add a margin of safety when searching for hot growth stocks may want to consider a new grading system.
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The U.S. 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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Investor's Business Daily - Investors using Scottrade for cheap, one-source mutual fund shopping may soon have to start paying a transaction fee.
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The Securities and Exchange Commission approved a plan yesterday to allow companies listed on the New York Stock Exchange to retain their three-letter ticker symbols should they transfer to Nasdaq.
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The U.S. Securities and Exchange  Commission barred U.S. mutual funds on Wednesday from  channeling brokerage commissions toward Wall Street firms based  on their promotion of the funds' shares.
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Distributing a lavish dividend may not best serve shareholders.
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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.
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Federal regulators have subpoenaed Fidelity Investments and several brokerage firms that handle the stock-trading business for the mutual fund giant, seeking information about gifts and expensive perks Fidelity traders may have accepted from the brokerage firms, according to attorneys involved in the case.
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Securities regulators are planning sanctions soon against a company that recently stopped selling high-fee mutual funds to military officers, people familiar with the situation said Friday. Some big fund companies say they may reconsider the so-called contractual plan funds.