SEC Looks Into Van Eck
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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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The SEC investigation into a scandal that rocked Wall Street last week is not over
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Securities regulators are opening up yet another front in their long-running investigation of the mutual fund industry, examining brokerage firms that allegedly gave mutual fund employees
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SEC asks the conglomerate for information about participation in the defunct UN program in Iraq. NEW YORK  - Tyco International said the Securities and Exchange Commission asked it for information
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After last week&#39;s settlement with San Francisco investment adviser Garrett Van Wagoner, you have to wonder how serious the Securities and Exchange Commission is about protecting mutual fund shareholders.
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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 U.S. Securities and Exchange Commission is investigating Dow Jones & Co. Inc.  board member David Li over an insider trading case linked to News Corp.'s  bid for the Wall Street Journal publisher, Dow Jones reported on Wednesday.
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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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NEW YORK, December 16  - According to a report in the Washington Post today, the Securities and Exchange Commission (SEC) has advised Fannie Mae (FNM.
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SEC may take civil action against the bank&#39;s brokerage unit on improper mutual fund trading charges. NEW YORK  - Wachovia Corp.
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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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The commission starts an inquiry into Travelzoo's executive and employee stock trading.
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Charles E. Grassley has asked NASD, the largest securities industry regulator, to describe how it identifies and tracks possible insider trading among its members.
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The Securities and Exchange Commission will propose soon a plan to tighten governance at the nation&#39;s stock exchanges to ensure they are serving the public interest, SEC Chairman William Donaldson said Friday.
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The staff of the U.S. Securities and Exchange Commission is considering recommending a civil injunction and/or administrative proceedings against Citigroup Asset Management, Citicorp Trust Bank, former asset management unit Chief Executive Thomas Jones and three other people, Citigroup  said on Friday.
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The Securities and Exchange Commission is examining stock sales by an American board member of Societe Generale, The Wall Street Journal reported Monday.
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The German and French financial watchdogs said on Thursday they were looking into recent trading by US financial services group Citigroup (CN: Quote, Profile, Research) in European government bond and derivative markets.