S.E.C. Is Said to Examine Stock Pricing By Big Brokers
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About a dozen brokerage firms are suspected of failing to secure the best available price for stocks they were trading for their customers.
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NEWARK, NJ -- Exelon Corp.&#39;s plan to acquire Public Service Enterprise Group Inc. for $12 billion in stock -- forming the country&#39;s biggest utility -- could face deep scrutiny from regulators concerned about such a behemoth.
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Marsh &amp; McLennan, the world&#39;s biggest insurance broker, last night disclosed that regulators had launched an investigation into transactions involving its directors.
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Christopher Cox, chairman of the Securities and Exchange Commission, said some companies have been providing investors with confusing data about executive compensation, making it difficult for them to decipher how these companies are paying their top officials.
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Marsh &amp; McLennan Cos., Aon Corp. and Willis Group Holdings Ltd., insurance brokers whose business practices are the focus of a probe by New York Attorney General Eliot Spitzer, have
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The stock market cops are going to take some heat today. The Committee on Capital Markets Regulation, a collection of business and academic heavy hitters, will release its much-anticipated report, and there isn't much mystery in its principal point of view. Capital markets regulation is a problem. The Sarbanes-Oxley Act is a reliable target.
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Brokerage firm's stock rallies as speculation is rife that CEO won't last long.
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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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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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Securities regulators are reviewing  whether investment banks' trades in shares of companies linked  to M&A deals they were advising were based on coincidence or  inside information, according to The Wall Street Journal on  Monday.
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A group of investors argues that an analysis of a companyâs pay practices can provide similar insights into managerial confidence.
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When most investors think of full-service brokers, names such as Merrill Lynch (NYSE: MER), Goldman Sachs (NYSE: GS), and Morgan Stanley (NYSE: MWD) usually come to mind.
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The SEC's new tool helps investors get the skinny on compensation.
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U.S. regulators are looking into  whether Wall Street firms are providing insider information on  upcoming offerings, either on purpose or inadvertently, the  Wall Street Journal reported on Thursday.
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Gamco Investors Inc. said it had offered to settle a S.E.C. investigation into mutual fund share trading.
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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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The Securities and Exchange Commission is increasing its scrutiny of the potential for insider trading at hedge funds.