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- SEC Keeps Up Pressure On Soft Dollar Violators
- The Securities and Exchange Commission is likely to issue a set of recommendations in the coming months on what constitutes acceptable research in soft dollar transactions, according to industry sources. The Securities and Exchange Commission is likely to issue a set of recommendations in the coming months on what...
- Research articles 2001-03-01
- SEC Keeps Up Pressure On Soft Dollar Violators.
- The Securities and Exchange Commission is likely to issue a set of recommendations in the coming months on what constitutes acceptable research in soft dollar transactions, according to industry sources. The Securities and Exchange Commission is likely to issue a set of recommendations in...
- Research articles 2001-03-01
- Is Nasdaq Application in Trouble?(Brief Article)
- The Nasdaq application to become a for-profit exchange is in trouble and is not likely to be approved by the Securities and Exchange Commission, several industry sources privately told Traders Magazine. "It's not going to happen," said one The Nasdaq application to become a for-profit...
- Research articles 2003-08-01
Additional Resources
- US poised to bring more insider trading cases
- By Svea Herbst-Bayliss and Rachelle Younglai of Reuters BOSTON/WASHINGTON - Fresh from laying charges in the largest hedge fund insider trading case in history, US federal investigators are poised to bring further "significant" cases. The targets will include financial professionals also involved in insider trading, a source familiar with the...
- News items 2009-10-19
- U.S. Eyes More Insider Trading Cases
- By Svea Herbst-Bayliss and Rachelle Younglai BOSTON/WASHINGTON (Reuters UK) - Fresh from laying charges in the largest hedge fund insider trading case in history, U.S. federal investigators are poised to bring further "significant" cases. The targets will include financial professionals also involved in insider trading, a source familiar with the...
- News items 2009-10-20
- Albemarle Corp. Q3 2007 Earnings Call Transcript
- Question-and-Answer SessionOperator [Operator Instructions]. Your first question comes from the line of P.J. Juvekar from Citi please proceed. P.J. Juvekar - Citigroup Yes, Hi good morning. Richard J. Diemer, Jr. - Senior Vice President and Chief Financial Officer Hi good morning P.J. ...
- Earnings calls 2007-10-24
- Financial Roundup: SEC Decides To Keep Mark-To-Market, Citadel Retreats, New Bank Failure, Mortgage Mess
- Mark-to-market sticking around - Despite protests from the banking industry, the Securities and Exchange Commission will not suspend the controversial mark-to-market accounting rule. Some in the banking industry have blamed the accounting rule for worsening the credit crunch. The SEC, however, is open to discussing ways to refine the rule's...
- Blog posts 2008-12-08
- Pequot referred to SEC 45 times in four years
- Stock exchange monitors referred Pequot Capital Management to the Securities and Exchange Commission for possible securities violations, including insider trading, at least 45 times between 2005 and this year, the commission has revealed in a letter to the US Congress. The SEC is probing allegations that Arthur Samberg, the hedge...
- News items 2009-08-12
- SEC Mulls Surprise Audits For Investment Advisers
- WASHINGTON (Reuters) - U.S. securities regulators may reduce the number of investment advisers who would have to undergo an annual surprise audit under a proposal to ensure that their clients' assets are safe, two sources familiar with the plan said on Tuesday.The Securities and Exchange Commission votes on Wednesday on...
- News items 2009-12-16
- The Prisoner's Dilemma, the Stockholm Syndrome, or a Case of Both? - By Max Starkov
- The Prisoner's Dilemma, the Stockholm Syndrome, or a Case of Both? - By Max Starkov For some time now, we have been hearing from many industry sources that during renewal negotiations Expedia/Hotels.com has demanded new terms and conditions that are against everything the hospitality industry stands for: last room availability,...
- News items 2009-10-19
- Sarbanes-Oxley Compliance: How to Survive (and Win)
- Thanks to new regulations, Sarbox compliance has become a lot less costly and more efficient. Here's how to use it to your best advantage. Create a Controls-Friendly Culture From the Top Goal: Lay the...
- Articles 2008-02-26
- Who, Us? Follow the Rules?
- It wouldn't be the first time the securities industry widely ignored rules. Regulators have been unable to make the industry disclose entity-level fees like mutual fund revenue-sharing payments, despite the fact that SEC and NASD rules require it. "[A]ny broker-dealer that effects a purchase of fund shares for a...
- Research articles 2003-08-01
- Level 3 Communications Q1 2007 Earnings Call Transcript
- Question-and-Answer SessionOperator Operator Instructions Our first question comes from the line of Tim Horan with CIBC World Markets. Please go ahead. Tim Horan - CIBC World Markets Thanks, good morning. I am always kind of struggling to get some proxy on volume growth. And I think data centers might...
- Earnings calls 2007-07-26
- PC Service Source names Nick as vice president and chief financial officer
- DALLAS--BUSINESS WIRE--Oct. 23, 1995--PC Service Source Inc. (NASDAQ:PCSS) Monday announced that Jeffrey A. Nick has been named vice president and chief financial officer.Nick has more than 15 years of experience in both public accounting and industry. He was previously employed as vice president, finance and accounting, for Tecnol Medical...
- Research articles 1995-10-23
- EDGAR Online Wins Prestigious Codie Award; Industry Organization Names EDGAR Online Pro Best Online Government Information Service
- SOUTH NORWALK, Conn. -- EDGARR OnlineR, Inc. (NASDAQ: EDGR), a leading provider of value-added business and financial information on global companies to financial, corporate and advisory professionals, won a 2005 Codie Award from The Software and Information Industry Association SIIA for "Best Online Government Information Service" with its EDGAR Online...
- Research articles 2005-06-08
- Desarrolladora Homex SA de CV Q3 2007 Earnings Call Transcript
- Question-and-Answer SessionOperator Thank you. We will now begin the question-and-answer session. [Operator Instructions]. We have a question from Jorge Kury with Morgan Stanley. Go ahead, Jorge. Jorge Kury - Morgan Stanley Hi, good morning. Two quick questions, the first one, operating expenses were up 36% year-on-year,...
- Earnings calls 2007-10-25
- McGraw-Hill: A Financial Services Value Play?
- Hao Jin submits:The McGraw-Hill Companies, Inc. MHP operates in three segments: Education, Financial Services, and Information & Media. The Financial Services segment operates under the Standard & Poor’s brand. Information & Media includes Business Week, J.D. Power and Associates, and Platts, a source for energy-industry information and services.On July 29,...
- External links 2009-08-03
- How to Gather Competitive Research
- To formulate an effective corporate strategy, it's essential to understand two basic questions: What is your company doing, and what are your competitors doing? Establish the Strategic Problem Goal: Define your question before you begin the search for answers. Developing a competitive strategy...
- Articles 2007-03-28
- Financial Roundup: Obama to Guarantee Private Equity, Probe Bank Chiefs, Directors, Cramdowns Lightened Up
- Obama to unlock lending -- President Barack Obama is drawing up a plan to subsidize the profits of big private investment firms in bond markets. As much as $1 trillion could be spent for guarantees to hedge funds and private equity firms so they will continue buying securitized consumer and...
- Blog posts 2009-02-20
- Royal Dutch Shell Q3 2007 Earnings Call Transcript
- Question-and-Answer SessionOperator Thank you. We will now begin the question-and-answer session. [Operator Instructions] Theepan Jothilingam from Morgan Stanley is now online with a question. Theepan Jothilingam – Morgan Stanley Yes. Hi, good afternoon Peter. Just a couple of questions please. Just firstly, you've been very active...
- Earnings calls 2007-10-25
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