SEC Probes Firms-Advisers Gift Exchange
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Securities regulators are examining whether brokerage firms lavished golf outings, Super Bowl tickets and other gifts on mutual fund advisers to get them to bring their trading business to the firms.
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Morningstar Inc., the firm that millions of investors rely on to rate the performance of mutual funds, is under investigation by the Securities and Exchange Commission for failing to properly correct inaccurate data it published about a mutual fund.
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Morningstar, the research firm that tracks more than 16,000 mutual funds, is under investigation by the Securities and Exchange Commission.
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The Boston office of the Securities and Exchange Commission is conducting a &quot;mini-sweep&quot; of about two dozen mutual fund companies, to hunt for any improper trading by fund managers, traders, and other high-ranking insiders over the past three years, two SEC officials confirmed.
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Krispy Kreme Doughnuts Inc. is being investigated by the US Securities and Exchange Commission regarding some accounting practices.
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The SEC is looking into whether the financial-information provider failed to correct inaccurate data it published regarding a single mutual fund in a timely manner.
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The SEC is investigating possible profiteering by U.S. companies operating in the developing country with a history of corruption.
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The Securities and Exchange Commission is investigating matters related to Merrill Lynch & Co Inc's  subprime mortgage portfolio, the company said on Wednesday.
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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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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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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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NEW YORK, Nov. 8 -- The Securities and Exchange Commission is investigating whether more than a dozen big brokerage firms failed to execute certain trades at the best possible prices for individual investors, sources familiar with the probe 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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Other Silicon Valley companies are also under scrutiny for their stock option granting practices.
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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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Market regulators are looking into gifts of Super Bowl tickets, private jet rides, wine and expensive golf outings by brokerage firms to mutual fund executives, officials said Tuesday.
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THREE senior officials running one of Americaâs junior stockmarkets could face civil charges relating to its options market, following a probe by US watchdog the Securities and Exchange Commission.