U.S. Securities and Exchange Commission
Government Agency
Galleon wiretaps targeted...as evidence. Responding to civil charges by the Securities and Exchange Commission, Rajaratnam's attorneys also denied the Sri Lanka native used inside information to profit from high-profile securities like Google and Intel. "In each of... In this article: Galleon Group, Insider trading, Securities and Exchange Commission, Jed Rakoff, Google, Intel, Manhattan, and Sri Lanka |
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washingtonpost.com | 3 days ago
Rajaratnam denies insider charges, blasts wiretaps
The filing came in response to a civil lawsuit originally brought by the U.S. Securities and Exchange Commission on October 16, the day Rajaratnam was arrested and accused by prosecutors of generating millions of dollars of illegal profits.
In this article: Insider trading, Galleon, NEW YORK, Intel Corp, U.S., and Defendant
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Times Online | November 13, 2009
Madoff IT workers arrested over $65bn scam$
...and accounts. The false programs were used by Madoff to deceive the Securities and Exchange Commission (SEC) and an unnamed European accounting firm during at least five reviews of his Manhattan firm, Mr Bharara alleged. The SEC has been...
In this article: Bernard Madoff, SEC, New York, Second World War, and Rolex
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WSJ.com: Markets | November 13, 2009
Madoff Tech Staffers Arrested
...comment Friday. The U.S. Securities & Exchange Commission also brought parallel civil charges against O'Hara, 46 years old, of Malverne, N.Y., and Perez, 43, of East Brunswick, N.J., in U.S. District Court in Manhattan. The SEC is seeking...
In this article: Bernard Madoff, Manhattan, NEW YORK, and North Carolina
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USATODAY.com | November 09, 2009
Ex-SEC lawyer pleads guilty in NY Marc Dreier case
...Writer NEW YORK A former lawyer with the enforcement division of the Securities and Exchange Commission pleaded guilty Monday to conspiring with a prominent Manhattan lawyer to dupe hedge funds out of tens of millions of dollars. Robert...
In this article: Marc Dreier, SEC, Manhattan, New York, All rights reserved, Securities and Exchange Commission, USA Today, Michael Strahan, and News Corp.
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Financial Times | November 13, 2009
Programmers arrested ahead of Madoff auction
...computers - known internally as "house 17". These programs generated documents that allegedly helped Mr Madoff avoid detection by the Securities and Exchange Commission and a European auditing firm. In an affidavit submitted by an FBI agent,...
In this article: Bernard Madoff, US Marshals Service, Manhattan, New York, Hofstra College, London Stock Exchange, and Prada
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L.A. Times - Business | November 05, 2009
14 charged in insider trading case
...one on Goffer's cellphone that captured conversations in 2007 and 2008. The U.S. attorney in Manhattan, the FBI and the Securities and Exchange Commission scheduled a midday news conference Thursday to discuss the case. 2100.62 1063.4
In this article: Insider trading, Galleon Group, U.S. attorney, Securities and Exchange Commission, Manhattan, and FBI
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Description from Wikipedia:
The U.S. Securities and Exchange Commission (commonly known as the SEC) is an independent agency of the United States government which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets. The SEC was created by section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. ยง 78d and commonly referred to as the 1934 Act). In addition to the 1934 Act that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes.
The SEC is composed of five commissioners, of which no more than three can be from a single political party. Currently the SEC commissioners are chair Mary Schapiro (D), Kathleen L. Casey (R), Troy A. Paredes (R), Luis A. Aguilar (D) and Elisse B. Walter (D).
- Name:
- U.S. Securities and Exchange Commission
- Headquarters:
- Washington, D.C.
- Founding Date:
- June 06, 1934
- Head:
- Mary Schapiro
- No. of Employees:
- 3,798 (2007)
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