U.S. Securities and Exchange Commission

...information provided by a former employee of the technology company that it later hired. Last summer, the SEC sent notices to Pequot and its founder and chairman, Arthur Samberg, indicating that the agency could bring civil charges against...

In this article: SEC, Microsoft Corp., Charles Grassley, Arlen Specter, Connecticut, and Insider trading

...rules for the credit rating agencies and have proposed setting up an office within the SEC to do just that. But experts are not convinced the SEC is up to the task, not least because of its catastrophic failure to spot Bernard Madoff's $65...

In this article: SEC, Moody's Corp, Bernard Madoff, and Stern School of Business

...inspector general says. A report released Thursday by the office of Inspector General David Kotz proposes new requirements that the SEC's inspections office examine databases and documents related to investment advisers that may be...

In this article: SEC, Bernard Madoff, Washington, and North Carolina

SEC told to improve ways it chooses probe targets By MARCY GORDON, AP Business Writer Marcy Gordon, Ap Business Writer - Thu Nov 19, 6:42 pm ET WASHINGTON - The Securities and Exchange Commission must tighten its process for deciding...

In this article: SEC, Bernard Madoff, Washington, and North Carolina

...that involves the former manager of Pequot, Arthur Samberg. The letter, dated Nov. 18, was sent to SEC Chairman Mary Schapiro. The SEC had no comment. In May, Samberg said he was shutting down his firm because the government had reopened...

In this article: SEC, US, Insider trading, Charles Grassley, and Arlen Specter

...among the enforcement and examination staffs, and require that investment firms disclose more information to the SEC, among others. The SEC's Office of Compliance Inspections and Examinations agreed with all 11 recommendations, the report...

In this article: Bernard Madoff and U.S.

...to stop future scandals, a New York whistle-blower for a 2003 mutual fund skimming scandal said Wednesday in San Antonio. The SEC should reach out to the investment management community to understand it better and to learn where criminal...

In this article: Eliot Spitzer, Bernie Madoff, New York City, San Antonio, and Long Island

...process is subject to undue commercial or political pressure market participants may lose confidence." Last November, in one of the SEC's last major projects under former Chairman Christopher Cox, the SEC staff released a proposed...

In this article: Kathleen Casey, SEC, U.S., Financial Accounting Standards Board, and London

...powers don't trump those of other regulators, a commissioner at the Securities and Exchange Commission told lawmakers Tuesday. SEC Commissioner Elisse Walter testified before the House Agriculture Committee on a systemic risk measure...

In this article: Elisse Walter, SEC, Federal Reserve, Commodity Futures Trading Commission, Risk management, House Agriculture Committee, and House Financial Services Committee

...several weaknesses in its internal controls over financial reporting. The homebuilder declined to comment on Monday on this latest SEC action. The commission did not charge CEO Ian McCarthy with lack of due care connected to its...

In this article: Paul Hastings, Allegation, Sarbanes-Oxley Act, and New York Stock Exchange