Results for sec: 416
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UPDATE 2-Bank of America rejects SEC claims in bonus suit
26 Sep 2009 16:43:02 PST* Bank says was not negligent, misleading * Case to be tried no later than March 1, 2010 * Judge previously rejected $33 million settlement (Recasts. Adds details from bank's answer, SEC comments, updates share...
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UPDATE 1-US SEC moves to reform credit rating agencies
17 Sep 2009 21:24:02 PST* SEC to require credit agencies to reveal ratings history * Moves to foster more unsolicited ratings * SEC also considering ban on flash orders (Adds details on rules and proposals, Schapiro comment) WASHINGTON, Sept...
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UPDATE 3-US SEC mulls stricter rules for credit agencies
15 Sep 2009 16:47:19 PST* Banks may have to share data used to rate bonds * Credit agencies may have to disclose more rating history * SEC meets Thursday to consider more credit agency rules * SEC explores stronger...
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UPDATE 2-BofA, SEC say execs not liable on Merrill bonuses
10 Sep 2009 16:14:03 PST* No basis to charge executives, the bank and SEC say * Settlement requires judge's approval * Bank's shares rise (Recasts, adds details throughout, byline) NEW YORK, Sept 9 - Bank of America Corp and...
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UPDATE 1-Top SEC officials unaware of Madoff probes-report
04 Sep 2009 13:59:05 PST* Former SEC chiefs Cox, Donaldson, Levitt interviewed WASHINGTON, Sept 4 - Former U.S. Securities and Exchange Commission chairmen and directors were generally unaware that staff were probing Bernard Madoff until the former financier was...
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UPDATE 4-Blistering report faults SEC for Madoff misses
02 Sep 2009 17:19:41 PST* SEC watchdog says agency fumbled five probes * No evidence of improper SEC ties with Madoff * Schapiro hopes to safeguard names of junior staffers (Adds Schapiro quote) BOSTON/NEW YORK, Sept 2 - U.S....
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UPDATE 2-Blistering report faults SEC for Madoff misses
02 Sep 2009 17:14:02 PST* SEC watchdog says agency fumbled five probes * No evidence of improper SEC ties with Madoff (Adds details from probe, Senate reactions) BOSTON/WASHINGTON, Sept 2 - U.S. securities regulators missed "numerous" red flags that...
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UPDATE 1-Internal review blasts SEC over Madoff
02 Sep 2009 17:09:14 PST* SEC Inspector General says agency fumbled 5 probes * No evidence of improper SEC ties with Madoff BOSTON/WASHINGTON, Sept 2 - U.S. securities regulators missed repeated chances to uncover Bernard Madoff's Ponzi scheme, a...
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SEC, CFTC cautious amid calls to end turf war
02 Sep 2009 05:45:15 PST* First joint meeting of SEC and CFTC * White House, lawmakers prodding agencies to cooperate * Better oversight, swifter action on new products sought * Too much overlap could stifle competition * CME warns...
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UPDATE 1-Judge won't approve Bank of America, SEC settlement
05 Aug 2009 20:24:14 PST* Judge says $33 million settlement leaves issues open * Link to bailout money unclear, judge says * Bank of America, SEC not available for comment NEW YORK, Aug 5 - A U.S. federal judge...
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