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- Securities Regulator Pitt Attacks CEO Greed
- Securities Regulator Pitt Attacks CEO Greed Better rules governing executive compensation would significantly boost investor confidence in corporations and equity markets, says top securities regulator Harvey Pitt. Salaries for corporate directors should be tied to long-term -- not short-term -- growth of a firm, and...
- Research articles 2002-06-17
- Not Breaking News: Regulator Just as Dumb as Ordinary Investors!
- You probably don't realize it, but there is a mammoth securities regulator that is not a government entity. The Financial Industry Regulatory Authority FINRA, is the largest independent regulator for all US securities firms, overseeing nearly 4,800 brokerage firms, about 173,000 branch offices and approximately 647,000 registered securities representatives. ...
- Blog posts 2009-09-25
- Regulator fines Salomon for misleading research.
- A leading US securities regulator has fined Salomon Smith Barney, Citigroup's investment bank, $5m ([euro]5.12) for issuing misleading research on Winstar Communications, the bankrupt communications firm.The National Association of Securities Dealers A leading US securities regulator has fined Salomon Smith Barney, Citigroup's investment bank, $5m...
- Research articles 2002-09-24
- With Joseph Borg of the North American Securities Administrators Association Inc.(One on One)
- Byline: Sara Hansard As one of the few trial attorneys to become a state securities regulator, Alabama Securities Commissioner Joseph Borg brings an aggressive, tough approach to his job. Those traits also show in his work...
- Research articles 2007-05-14
- Raising the risks of securities fraud. (interview with SEC Southeast regional director Charles V. Senatore)(Interview)
- Charles V. Senatore became the top securities regulator in the Southeast in March 1994, when the U.S. Securities and Exchange Commission tapped him to bead one of five new regional headquarters, in Miami, where Senatore supervises a staff of 120. Charles V. Senatore became the top...
- Research articles 1995-06-01
- Washington State Securities Agency Demotes Top Regulator.
- By Drew DeSilver, The Seattle Times Knight Ridder/Tribune Business News May 12--Washington's top securities regulator was demoted last month amid disagreements within the state Department of Financial Institutions over a securities-law case against investment giant Morgan Stanley. Deborah...
- Research articles 2004-05-12
- Massachusetts Regulator Joins Probe into Minneapolis-Based Financial Firm.
- By Tim Huber, Saint Paul Pioneer Press, Minn. Knight Ridder/Tribune Business News Dec. 13--Yet another securities regulator has joined the investigation of Minneapolis-based U.S. Bancorp Piper Jaffray. The Massachusetts Securities Division has agreed to help the state of Washington...
- Research articles 2002-12-13
- Mass. regulator charges Reserve Management with fraud
- BOSTON (Reuters) - Massachusetts' top securities regulator charged the country's oldest money market sponsor, Reserve Management Co, with fraud on Tuesday. Massachusetts Secretary of State William Galvin accused the New York company of making false statements to investors about plans to support its Reserve Primary Fund's net asset value when...
- News items 2009-08-07
- Greek regulator fines BNP Paribas [euro]860,000.
- Byline: Shanny Basar The Hellenic Republic Capital Market Commission, the Greek securities regulator, has fined BNP Paribas [euro]860,000 ($846,775) for allegedly using insider information ahead of a sale of shares in Alpha Bank, the Greek firm.The regulator said that on July 19 last year...
- Research articles 2002-10-01
- Colombia regulator fines mobile-phone companies on price agreement.(COLOMBIA)(Telefonica)(Brief article)
- The Colombia antitrust agency fined the local units of Mexico-based America Movil and Spain's Telefonica after establishing the two companies agreed on the fees they charge to other telephone companies for using their networks. The regulator imposed a fine of 1.72 billion Colombian pesos...
- Research articles 2007-08-01
- Harmonization of U.S.-EU securities regulation: The case for a single European securities regulator
- I. EUROPEAN SECURITIES MARKETSA. IntroductionEuropeanists have long dreamt of a single European securities market. As early as 1960, the European Economic Community called on member states to ease the movement of capital for, inter alia, the trading of securities quoted on stock exchanges.1 The European Commission's White Paper of 1995...
- Research articles 2003-01-01
- Trojan horses; European securities regulation.(A single securities regulator for Europe?)
- Europeans cannot agree on the future of cross-border financial supervision IT LOOKS like just another spat between Little Englanders and the devious French. In fact, it is more complicated than that. At issue is how to oversee the fast-growing pan-European securities markets. Should ...
- Research articles 2003-02-15
- UK regulator accuses funds of 'deluding' their customers.
- Byline: Nick Gilbert Last week the UK securities regulator delivered a damning verdict on those involved in the split capital investment trust fiasco - the latest scandal to tarnish the reputation of the financial industry in London. John Tiner, managing director of the Financial...
- Research articles 2002-05-19
- Securities Association Fines Richmond, Va., Brokerage over 'Market Timing'.
- By Carol Hazard, Richmond Times-Dispatch, Va. Knight Ridder/Tribune Business News Jun. 2--Davenport & Co. was ordered by a securities regulator yesterday to pay more than $738,000 for improper trading. The National Association of Securities Dealers, the brokerage industry's investor-protection...
- Research articles 2004-06-02
- British Columbia Securities Commission: Research into Investor Fraud Released.
- VANCOUVER, BRITISH COLUMBIA, Sep 20, 2005 CCNMatthews via COMTEX -- The British Columbia Securities Commission released today new findings about investors in the Eron Mortgage investment fraud and the losses that they suffered. The findings are in a research study conducted by Simon Fraser...
- Research articles 2005-09-20
- Congressmen Oppose Making Fed Super-regulator
- By Charles AbbottWASHINGTON (Reuters) - Congress ought to clarify if a proposed super-regulator of the U.S. financial system should be an overlapping overseer of securities and futures exchanges, the chief futures regulator said on Tuesday.Chairman Gary Gensler of the Commodity Futures Trading Commission spoke to the House Agriculture Committee at...
- News items 2009-11-17
- Lay off! Regulators tussle over CPO/CTA regs.(Trendlines)
- In a comment letter to the Securities and Exchange Commission, the NFA reminded the securities regulator that commodity pool operators CPO and commodity trading advisors CTA already have a regulator and asked them to provide a carve out in their In a comment letter to...
- Research articles 2004-11-01
- Regulatory Showdown: A Hybrid Regulator Could Alter the Regulatory Landscape.(United States. Securities and Exchange Commission)
- The two biggest trading regulators are auditioning for a major new roll-hybrid regulator. The National Association of Securities Dealers and the New York Stock Exchange Regulation are making their cases to the Securities and Exchange Commission. That The two biggest trading regulators are auditioning for a...
- Research articles 2006-03-01
- Why John Mack's Suggestion Of Single Global Bank Regulator Would Be A Disaster
- Soon-to-depart Morgan Stanley chief executive John Mack yesterday proposed "an uber-regulator" for the global banking system. Mack said that he thinks a single global regulator would better handle the potential for another round of systematic risk, and that such an institution would also make sure that the...
- Blog posts 2009-09-30
- Aussies, U.S. Sign Securities Regulation Pact
- There's more evidence of the coming of One Big Regulator for the securities of countries with mature economies. The U.S. and Australia have agreed to a mutual regulation pact. The deal allows securities regulators in the two countries to U.S. and Australian stock markets and broker-dealers to...
- Blog posts 2008-08-28
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