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sec Settles False Rumor Charge With Trader: NEW YORK (Reuters) - U.S. securities regulators said on Thursday they settled with a Wall Street trader accused of intentionally spreading false rumors about the planned acquisition of Alliance Data Systems Corp (ADS) while selling the stock short. Paul Berliner, 32,...; Tags: Advertising & Promotion, Investment, SEC, Blackstone Group LP, planned acquisition, trader, agency, regulator, wall, IM, stock, hedge fund, New York, Thomson Reuters Corp., alliance, e-mail; News items 2008-04-24
sec Refuses to Say Why Bear Enquiry Dropped: Report: NEW YORK (Reuters) - Regulatory officials turned down a congressional request to reveal why they aborted an inquiry into whether Bear Stearns Cos (BSC) improperly valued complex debt securities, hurting investors in the process, the Wall Street Journal reported on Wednesday....; Tags: Bear Stearns & Co. Inc., SEC, commission, investor, New York, bankruptcy, Thomson Reuters Corp.; News items 2008-04-23
Google Board Member Targeted by sec: Google director Ann Mather is facing civil charges by the Securities and Exchange Commission in connection to an options backdating scandal at Pixar, where Mather used to be CFO from 1999 to 2004. In Google's filing, the company disclosed: On April 23, 2008, Ann was advised...; Tags: Google Inc., Board, SEC, Pixar Animation Studios Inc., Director, Stock Options, Corporate Governance, Investment, Benefits, Financial Accounting, Human Resources, Stock Options & Grants, Business Operations, Corporate Law, Finance, Larry Dignan; Blog posts 2008-04-29
CEOs: Don't Sweat New sec Commissioners: CEOs probably don't have much to fear from the two new Democratic nominees to the U.S Securities & Exchange Commission. While both individuals have solid records, they are not seen to be boat rockers and are unlikely to do much to push the agenda of shareholder rights advocates. ...; Tags: Mutual funds, Retirement plans, Investment, Financial accounting, Peter Galuszka, SEC; Blog posts 2008-04-11
U.S. Senator Asks sec to Step Up Ratings Scrutiny: Report: NEW YORK (Reuters) - Sen. Charles Schumer met the SEC chairman to urge the regulatory agency to step up its scrutiny of conflicts of interest that may have played a role in bond rating companies' misses on the U.S. housing market, the Wall...; Tags: Financial accounting, Charles Schumer, SEC, Sen., miss, bond, chairman, New York, agency, Thomson Reuters Corp., monitor, financial, security; News items 2008-04-16

Slow-starting E-Proxies Help Governance, Ecology: Voting via electronic proxies could be be a way to both encourage shareholder democracy and save the environment. The process seems to be off to a slow start, however. This is the first proxy season since the U.S. Securities & Exchange Commission put rules into effect last...; Tags: Financial accounting, Peter Galuszka, Environmental Groups, shareholder, SEC, filing; Blog posts 2008-04-23
No Freedom of Speech for Executives: Champions of corporate transparency believe that dialog between shareholders, executives and directors is essential. Yet a big hurdle remains. Regulations at the U.S. Securities & Exchange Commission strictly regulate not just what can be said, but where and to whom it can be said. Known as Regulation...; Tags: Blogging, Corporate governance, Financial accounting, Peter Galuszka, Reg FD, blog; Blog posts 2008-04-21
sec's Christopher Cox Wants to Globalize Regulation: Executives are getting washed over with media coverage about the new financial regulatory blueprint spearheaded by Treasury Secretary Henry Paulson. Cries may be loud about the need for new oversight but one Paulson message stands clear: U.S. business must remain competitive in an increasingly global economy. Executives...; Tags: Regulations, Financial accounting, Cox, Peter Galuszka, Indian Stock Market, SEC, Henry Paulson; Blog posts 2008-04-07
JPMorgan May Face sec Civil Charges: NEW YORK (Reuters) - JPMorgan Chase & Co (JPM) said on Monday that it received a notice from federal regulators indicating that one of its units may face an enforcement action related to "the bidding of various financial instruments associated with...; Tags: J.P. Morgan Chase & Co., SEC, Financial Accounting, Security, Finance, Jpmorgan, xxBear Stearns Co.xx; News items 2008-05-12
Schering-Plough Now in the Feds' Crosshairs: The Vytorin scandal just got serious. Well, heck, it was already serious. Make this really serious: Investigation and Inquiries. Through the date of filing this 10-Q, Schering-Plough, the joint venture and/or its ...; Tags: SEC, Merck & Co. Inc., Schering-Plough Corp., Attorney, Vytorin, Sales Strategy, Healthcare, Sales Force Management, Sales, David P. Hamilton; Blog posts 2008-05-07
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
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
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
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, Regulations, SEC, Sarbanes-Oxley Act, financial service, industry; 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, charter, SEC, Sarbanes-Oxley Act, best practice; 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
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
U.S. Hedge Fund Oversight Needs Teeth, Say Critics: By Rachelle Younglai WASHINGTON (Reuters) - Critics blasted a Treasury Department call for the $1.8 trillion hedge fund industry to better police itself, saying voluntary guidelines did little to protect investors and regulate the pools of capital. Instead, the guidelines should be mandatory...; Tags: Investment, Financial services, hedge fund, U.S. Department of Treasury, SEC, best practice, investor, asset, mortgage-backed security, annual reports, regulation, Washington, financial statement, agency, pension fund, mutual fund, standards, Thomson Reuters Corp., risk ma; News items 2008-04-15
Siemens Says sec Probe to Take Time: Paper: FRANKFURT (Reuters) - Siemens AG's (SIEGn) compliance chief expects an investigation by U.S. authorities into corruption at the company will some take time, though he is confident about the outcome, Tagesspiegel newspaper reported. "It can take a long time yet," Peter Solmssen told...; Tags: bribe, Siemens AG, Frankfurt, payment, CEO, knowledge, Thomson Reuters Corp., finance, telecommunications; News items 2008-04-13
Four Reasons to Love Sarbanes-Oxley: Not a fan of Sarbanes Oxley compliance? The regulations are better for your company than you might think. #1: It Bursts the IPO Bubble The dot-com boom and subsequent bust a decade ago was largely the result of...; Tags: Geoffrey James, Sarbanes Oxley, Sarbox, SOX, SEC, Financial, Regulation, Financial Control, Ernst & Young Partner Narain, Financial Accounting, Finance; Articles 2008-02-26