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Scottrade to Pay $950,000 to Settle SEC Charges: WASHINGTON (Reuters) - Scottrade Inc has agreed to pay $950,000 to settle charges that it made misrepresentations to customers regarding the broker-dealer's trade executions. The U.S. Securities and Exchange Commission said on Tuesday that Scottrade agreed to settle without admitting or denying ...; Tags: misrepresentation, SEC, Washington, liquidity, Thomson Reuters Corp., agency; News items 2008-06-24
SEC Proposes Reduced Reliance on Credit Raters: By Karey Wutkowski and Rachelle Younglai WASHINGTON (Reuters) - Securities regulators proposed weaning investors and Wall Street institutions from over-reliance on credit ratings, part of changes to the rating industry prompted by the subprime mortgage crisis. The Securities and Exchange Commission voted 3-0...; Tags: Financial accounting, Investment, SEC, mortgage-backed security, liquidity, subprime mortgage, investor, agency, asset, regulator, Washington, security, standards, volatility, bond, Thomson Reuters Corp., commission, industry, sales; News items 2008-06-25
Who Pays for Minority Director Campaigns?: Let's say your board is being challenged by dissident shareholders to bring in directors on a minority slate. Who should pay for it? That's question that the U.S. Securities & Exchange Commission has asked the Delaware Supreme Court to answer. The SEC is doing so because about...; Tags: Corporate governance, Peter Galuszka, Delaware, Computer Associates International Inc., SEC; Blog posts 2008-06-30
SEC Proposals May Diminish Credit Ratings Role: Report: NEW YORK (Reuters) - The U.S. Securities and Exchange Commission plans to propose rules that may diminish the importance of credit ratings across various markets, the Wall Street Journal reported on Tuesday. One proposal, to be unveiled Wednesday, would make it ...; Tags: Financial accounting, Charles Schumer, Moody's Corp., SEC, Sen., miss, bond, chairman, New York, agency, Thomson Reuters Corp., monitor, financial, security; News items 2008-06-23
U.S. Regulators to Diminish Ratings Agencies' Role: WSJ: NEW YORK (Reuters) - The U.S. Securities and Exchange Commission is planning rules to make it possible for U.S. money-market funds to invest in short-term debt without regards to ratings put on those securities by firms such as Moody's and Standard...; Tags: Moody's Corp., SEC, S&P, New York, U.S., Thomson Reuters Corp., agency, security; News items 2008-06-23

In Financial Reform, It's Paulson vs. Cox: You couldn't have two more different regulators and policy-makers. In one corner, you have Henry "Hank" Paulson, Secretary of the Treasury. The former head of Wall Street titan, Goldman Sachs, he is known as a tough, bald-headed earth-shaker. In others words, he's a shark. ...; Tags: Regulations, Financial services, Strategy, Peter Galuszka, Cox, Bear Stearns & Co. Inc., financial; Blog posts 2008-06-24
Not So Fast, Senators Tell Fed, SEC on Bank Pact: By Kevin Drawbaugh and Rachelle Younglai WASHINGTON (Reuters) - As the Federal Reserve and securities regulators neared an agreement on investment banks, leaders of the U.S. Senate Banking Committee on Friday warned them not to get ahead of Congress with any Wall Street...; Tags: Regulations, Federal Reserve Board, SEC, commercial bank, Bear Stearns & Co. Inc., U.S. Congress, agreement, senator, U.S. Senate, Republican, regulator, Washington, regulation, leader, subprime mortgage, financial system, liquidity, bank, financial, agency, bankruptcy, Bush; News items 2008-06-27
Broadcom's Samueli Pleads Guilty in Backdating Case: By Gina Keating LOS ANGELES (Reuters) - Broadcom Corp BRCM co-founder Henry Samueli pleaded guilty on Monday to a criminal charge of making a materially false statement to Securities and Exchange Commission investigators in a backdating case. Samueli, 53, entered the plea on...; Tags: Benefits, Financial accounting, Broadcom Corp., backdating, SEC, co-founder, plea, indictment, stock option, officer, compensation, Los Angeles, SEC filing, corporate governance, California, financial reporting, agreement, beverage, financial, Thomson Reuters Corp., Human Re; News items 2008-06-23
Taking Stock of Equity Analysts: The SEC's settlement concerning equity research attempts to remove inappropriate influences on equity analysts who work for investment banks. But it doesn't fix the structural problems that these research groups face: they are now far too expensive given the lower margins in the equity business. The paper depicts that analysts...; Tags: Investment, Financial services, McKinsey & Co., equity, analyst; White papers
COSO back in the limelight: "The Sarbanes-Oxley Act of 2002, enacted by the US Congress and had a major impact not just in the US, but on the financial services industry globally. One consequence has been a new focus on internal controls. Companies listed on the US Securities and Exchange Commission SEC must comply...; Tags: Sarbanes-Oxley, Regulatory compliance, internal control, SEC, Sarbanes-Oxley Act, financial service, industry; White papers
Parsing Financial Statements Efficiently And Accurately Using C And Prolog: All public U.S. corporations are required by law to file a variety of financial documents with the U.S. Securities and Exchange Commission the SEC. These documents describe the financial state of an organization, and are therefore of great interest to investors, and other members of the financial community. While the...; Tags: Financial accounting, PricewaterhouseCoopers Consulting, SEC, financial, financial analysis, financial statement; White papers
Sorting Out Best Practices in Disclosure Committee Charters: The paper depicts that in response to Section 302 of the Sarbanes-Oxley Act, the Securities and Exchange Commission SEC recommended in its August 29 release that companies create a committee with responsibility for considering the materiality of information and determining disclosure requirements on a timely basis. This committee, commonly called...; Tags: Protiviti, SEC, Sarbanes-Oxley Act, best practice; White papers
SEC Adds Flexibility to Audit Committee "Financial Expert" Definition: Many companies already scrambling to understand and comply with the myriad provisions of Sarbanes-Oxley might be able to breathe a little easier now that the Securities and Exchange Commission has broadened its definition on audit committee financial experts. In response to complaints that the proposed definition of "financial expert" was...; Tags: Financial accounting, Protiviti, SEC, financial, Sarbanes-Oxley Act, audit; White papers
Park Street Capital: Park Street Capital spun out of Tucker Anthony, the early leader in private equity investing nationwide. As one of Boston's most storied investment institutions readied itself to close shop after more than a century of success, a small group of its core investment staff prepared to take on a new...; Tags: restraint, public relations, SEC, private equity, leader; Case studies
The Knock on From Enron: The Sarbanes-Oxley Act of 2002 SOX represents the biggest change to federal securities laws in recent history. As a result of the large corporate financial scandals involving Enron, WorldCom, Global Crossing and Arthur Andersen, the Act was passed to combat future reprisals. Since 2004, all publicly traded companies are required...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Enron Corp., Sarbanes-Oxley Act, SEC, accounting, financial; White papers
Thornburg Gets SEC Subpoenas, Survival in Doubt: By Jonathan Stempel BANGALORE (Reuters) - Thornburg Mortgage Inc TMA, the jumbo mortgage lender that lost $3.31 billion in the first quarter, said on Wednesday it has received subpoenas from U.S. securities regulators and its survival remains in doubt. The disclosures reflect further...; Tags: Financial accounting, Investment, Thornburg Mortgage Inc., mortgage company, subpoena, Bangalore, SEC, bankruptcy, regulator, mortgage-backed security, shareholder, liquidity, investor, financing, financial, stock price, Thomson Reuters Corp., accounting, agency, stock; News items 2008-06-18
Fed, SEC Near Deal to Redraw Wall St Regulation: Report: NEW YORK (Reuters) - The Federal Reserve and Securities Exchange Commission SEC are finalizing an agreement to start the process of redrawing how Wall Street is regulated, the Wall Street Journal said on its website on Sunday. The agreement, which could be announced...; Tags: Financial services, Federal Reserve Board, agreement, bank, financial system, New York, financing, Thomson Reuters Corp., Web site, financial; News items 2008-06-22
Could Financial Scandal Decouple Zoltek Growth?: A producer of parts for wind turbines faces investigation into accounting irregularities that could have serious consequences for its business. Zoltek Companies recently disclosed that its audit committee is reviewing two unauthorized fund transfers amounting to $250,000 from a company subsidiary. The supplier of carbon fiber...; Tags: Accounting, Turbine, Financial, SEC, Zoltek, Carbon Fiber, Financial Accounting, Financial Services, Operational Accounting, Finance, David Phillips; Blog posts 2008-06-04
Whole Foods' Mackey Back to Blogging After SEC Probe: John Mackey is blogging again. After the Whole Foods CEO was outed as "rahodeb" – the anonymous poster on Yahoo Finance's stock message boards who invariably defended the company and argued with detractors – he stopped blogging on the Whole Foods Web site. Company lawyers advised...; Tags: Message Board, Stock, SEC, Blog, Whole Foods, CEO, John Mackey, Blogging, Internet, Dan Mitchell; Blog posts 2008-05-27
SEC Filings To Get a Lot More Transparent: It's fast, easy, and efficient. And you probably are going to have to use it, not to mention deal with the greater transparency it promises. CEOs and their staffs are likely to go through a major change in how they file their reports with the U.S. Securities...; Tags: Financial accounting, Benefits, Interactive Data, Peter Galuszka, SEC filing, SEC, interactive data; Blog posts 2008-05-16