Frank and Dingell Seek Oversight of Securities, SEC (Correct)
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Bloomberg - (Corrects date of Pelosi's election as leader of House Democrats in second-to-last paragraph.)
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Federal prosecutors have asked the Securities and Exchange Commission for information gathered from an investigation of Merrill Lynch &amp; Co's  activities in mortgage securities, The Wall Street Journal reported on Friday.
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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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The merger of the U.S. brokerage industryâs two major watchdogs finally has a name: the Securities Industry Regulatory Authority, or SIRA.
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The Securities and Exchange Commission is finding troubling indications that mutual-fund companies and other money managers paid retirement-plan consultants to be recommended to the consultants&#39; clients, people familiar with the probe told The Wall Street
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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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What&#39;s the difference between a broker and an investment adviser? A lot, when it comes to oversight - advisers are subject to more scrutiny.
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US securities regulators may recommend enforcement action against the former head of Citigroup Global Investment Management for his role in activities under investigation at the company&#39;s mutual fund unit, the No.
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Phillip Goldstein, manager of a small hedge fund company, likes to stretch the definition of activist investor. He's challenged the managers of closed-end funds and questioned the judgment of the U.S. markets watchdog, the Securities and Exchange Commission.
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Hartford Life, a unit of the Hartford Financial Services Group Inc., said Friday it is being investigated by the Securities and Exchange Commission for its use of "directed brokerage" in connection with its mutual funds.
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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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The US Securities and Exchange Commission is preparing enforcement actions against the American, Philadelphia and National stock exchanges for failing to protect
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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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The Securities and Exchange Commission requested 10 securities firms turn over stock-trading records for the last two weeks of September, opening a review of how Wall Street handles confidential information.
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A deeply divided Securities and Exchange Commission is expected on Tuesday to approve rules requiring all but the smallest hedge funds to register with the SEC and make their records available for examination.
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An independent committee will call on Thursday for a sweeping overhaul of securities market regulations.
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Who's the SEC looking out for? One Fool says it's not us.