Securities and Exchange Commission

Any change in or waiver of this Code shall be promptly disclosed through a filing with the United States Securities and Exchange Commission.

The Securities and Exchange Commission is investigating Mr Sokol's trading, according to a person familiar with the matter.

The Securities and Exchange Commission is also trying to make it easier for shareholders to nominate people to boards of directors.

The Securities and Exchange Commission is expected to review the incident, according to a person familiar with the matter.

The U. S. Securities and Exchange Commission is probing Sokol, a person familiar with the matter said on Wednesday.

However, in a filing with the Securities and Exchange Commission on Monday, H. P. said it had modified its separation agreement with Mr.

The next day, Bear informed the Securities and Exchange Commission that it would fail if nothing was done.

The Securities and Exchange Commission has brought separate civil charges in the matter that are still pending.

A spokesman for the Securities and Exchange Commission, which is investigating the matter, declined to comment on the disclosure issue.

In 2006, one potential investor actually branded it a Ponzi scheme and took his suspicions to the Securities and Exchange Commission.

A spokesman for the Securities and Exchange Commission said the fraud was of shocking magnitude and that has spread around the world.

The company has cooperated with the U. S. Department of Justice and the U. S. Securities and Exchange Commission since the probe began.

The Securities and Exchange Commission is investigating the matter, a person familiar with the situation has said.

A spokeswoman for the couple said the Securities and Exchange Commission never accused Mrs. Ansari of insider trading.

The MARS application provides a complete set of financial documents that are filed with the U. S. Securities and Exchange Commission (SEC).

Mr. Lauren intends to sell up to 11. 35 million shares in the company, according to a filing with the Securities and Exchange Commission.

The Securities and Exchange Commission says a private company must report financial information if it has 500 shareholders or more.

The U. S. Securities and Exchange Commission sued the company in 2004. Investigators found no billboards on sides of trucks.

The Securities and Exchange Commission is investigating why it did not take action against him until now.

However, last September the Securities and Exchange Commission, the US regulator, cleared her of any wrongdoing.

It has begun talks with the Securities and Exchange Commission (SEC) over permission to trade thousands of unlisted corporate bonds.

The chairman of the Securities and Exchange Commission, Christopher Cox, says naked short selling is not out of control.

The latest bad news arrived Thursday, when Avon said it faces a pair of Securities and Exchange Commission inquiries.

On February 24th, after a year-long debate, America's Securities and Exchange Commission (SEC) responded with fresh curbs on shorting.

The first of these commissions was chaired by congressman Christopher Cox, now chairman of the Securities and Exchange Commission.

The company has also confirmed receiving subpoenas from a federal grand jury and the Securities and Exchange Commission.

An amended registration statement is expected to be filed with the Securities and Exchange Commission tomorrow, the person said.

The company is to pay another 250 million euros to settle charges from the US Securities and Exchange Commission.

To ensure the issuance of the ABS, the Securities and Exchange Commission in effect suspended the need for a credit rating.

Some have directed their fury at the securities and exchange commission, the US financial watchdog, which failed to spot the fraud.

And they said he repeatedly lied to regulators from the Securities and Exchange Commission to cover up his scheme.

Companies are now gearing up to lobby the Securities and Exchange Commission, which has to write detailed provisions for the new rule.

S. Securities and Exchange Commission and exchanges to crack down on wrongdoing.

GM is waiting for its S-1 filing to be approved by the U. S. Securities and Exchange Commission.

The Securities and Exchange Commission is now conducting an in-depth review of how they missed the fraud, drawing intense criticism.

The Securities and Exchange Commission in the United States recently moved to protect nineteen major financial stocks.

The defeat became plain last month in a speech given by Christopher Cox, the chairman of the Securities and Exchange Commission.

A newly muscular Securities and Exchange Commission (SEC) is now going after government employees, too.

Moves by the Securities and Exchange Commission to review flash orders are welcome, as would be a proper look at HFT.

He has served on an advisory committee assembled by the Securities and Exchange Commission (SEC), America's main market watchdog.

The U. S. Securities and Exchange Commission sued three former executives at Fannie Mae and three at Freddie Mac.

On May 23rd America's Securities and Exchange Commission (SEC), prompted by Congress, voted to help new agencies gain faster approval.

Mr Blankfein has defended Goldman against the Securities and Exchange Commission charges, saying the agency's stance could "hurt America" .

That is the unspoken irony at the heart of the Securities and Exchange Commission's lawsuit against Goldman Sachs .

The Federal Reserve, Federal Deposit Insurance Corp. and Securities and Exchange Commission are also in the thick of the implementation.

First, the Securities and Exchange Commission (SEC) is good at the tough stuff, bringing plenty of "enforcement actions" .

The courts will be more willing and able to make wiretaps available to the Securities and Exchange Commission.

The investigations have been conducted by federal prosecutors in New York, the FBI and the Securities and Exchange Commission.

Administered by the Securities and Exchange Commission (SEC), the act defines what company records must be stored and for how long.

Since October, Prosper has been dormant as it goes through registration with America's Securities and Exchange Commission.

The President has nominated Mary Jo White as chair of the Securities and Exchange Commission.

The rule has been considered by the Securities and Exchange Commission three times in five years, but failed to pass.

Nor would the act's provisions to create a stronger Securities and Exchange Commission have made a difference.

The request from federal prosecutors followed a request last month for information by the Securities and Exchange Commission.

The auto maker disclosed the auditors' assessment in a filing with the Securities and Exchange Commission.

The Securities and Exchange Commission and New York Stock Exchange often defer to a home country's rules.

The firm was charged last week with fraud by the Securities and Exchange Commission for its role in selling mortgage-related investments.

The act also exempted them from regulation by the Commodities and Futures Trading Commission and the Securities and Exchange Commission.

The Securities and Exchange Commission announced the settlement with Office Depot, which neither admitted nor denied the allegations.

The fraud was missed by U. S. Securities and Exchange Commission regulators and led to calls for tighter oversight.

That caught the attention of the Securities and Exchange Commission (SEC) and the Department of Justice, which are investigating the loan.

Mr. Kellermann was also required to certify Freddie Mac's filings to the Securities and Exchange Commission.

Hundreds more are awaiting approval from the Securities and Exchange Commission (which, worryingly, cannot provide a precise number).

and the permissive stance of the Securities and Exchange Commission towards American broker-dealers like Lehman Brothers.

Citi's argument was accepted by the US Securities and Exchange Commission, potentially paving the way for other banks to follow suit.

as well as other relevant risks detailed CHM "s filings with the Securities and Exchange Commission. "

The Securities and Exchange Commission charged Sir Allen Stanford, a Texan billionaire, with an $8 billion fraud.

The burger giant disclosed its year-end store count in a Securities and Exchange Commission filing late last month.

In late March the Securities and Exchange Commission (SEC) issued a moratorium on the creation of new ETFs that use derivatives.

General Electric on Tuesday agreed to pay $50m to settle accounting fraud charges by the US Securities and Exchange Commission.

Cases were brought by the Justice Department, the Securities and Exchange Commission and the Munich Public Prosecutor's Office.

It would also combine the Commodity Futures Trading Commission and the Securities and Exchange Commission.

The strips of paper have been subpoenaed by the Securities and Exchange Commission .

Rep. Brad Sherman (D) of California asked Mary Schapiro, chairman of the Securities and Exchange Commission.

Every quarter end, banks file a one-day public snapshot of their balance sheets with the Securities and Exchange Commission.

The Securities and Exchange Commission advertises itself as the "investor's advocate" .

As of October, there were eighty-six alternative trading systems registered with the Securities and Exchange Commission.

IPOs must be registered with the Securities and Exchange Commission.

So the Securities and Exchange Commission has launched rigorous enforcement actions to detect fraud and manipulation in the market.

On Tuesday, the Securities and Exchange Commission announced new " circuit breakers" to support orderly trading.

The US Securities and Exchange Commission's vote this week to expand disclosure requirements for executive pay is a major step forward.

But, the registration statement filed with the Securities and Exchange Commission does detail what Kayak deems is its valuation.

This was followed by the Securities Exchange Act of 1934 which created the Securities and Exchange Commission.

The Securities and Exchange Commission has historically demurred on the subject of pay.

Several US lawmakers have written to the Department of Justice and Securities and Exchange Commission urging them to investigate.

He was responsible for making the databases of America's Securities and Exchange Commission available on the web in the early 1990s.

The Securities and Exchange Commission in the United States recently moved to protect 19 major financial stocks.

Hedge-fund and private-equity managers are bracing for intensified scrutiny from the Securities and Exchange Commission.

Most notably, they must report their financial information to the Securities and Exchange Commission.

The Securities and Exchange Commission says Goldman misled two clients by failing to give adequate disclosure.

Last month, it said in a filing to the Securities and Exchange Commission that it planned to sell shares for $9 to $11 each.

A requirement for hedge funds to register with the securities and exchange commission and to disclose financial information.

Levitt, the Securities and Exchange Commission's longest-serving chairman, supervised stock markets during the late 1990s dot-com boom.

Last week, the Securities and Exchange Commission accused the Galleon Group of hedge funds of trading on inside information.

Stock market money managers are regulated by the Securities and Exchange Commission (SEC).

Ordinary securities must be registered with the Securities and Exchange Commission before they can be traded.

In the late nineteen nineties, the Securities and Exchange Commission wanted to make room for new ideas in financial trading.

Clearance by the Securities and Exchange Commission took longer than expected, Chen said.

And, in another move, the Securities and Exchange Commission has temporarily barred short selling of stocks in financial companies.

The Securities and Exchange Commission will soon announce that he is joining the agency, in a senior risk position.

The Securities and Exchange Commission has a strong lever that it can use to regulate the rating agencies.

The Securities and Exchange Commission (SEC), which must draft the small print, has been swamped with objections.

GM, 61%-owned by the US government, has officially filed its proposals with the Securities and Exchange Commission.

Mr Gupta has been charged with civil violations by the Securities and Exchange Commission and denied any wrongdoing.

The two men still are fighting a civil lawsuit filed by the Securities and Exchange Commission.

Joe Biden's office and the Securities and Exchange Commission (SEC) could not be immediately reached for comment by Reuters.

They have not been made public yet, but they will be detailed in a filing with America's Securities and Exchange Commission.

The Securities and Exchange Commission today accused investment giant Goldman Sachs of civil fraud.

The Securities and Exchange Commission, the US financial watchdog, has begun an investigation.

the Securities and Exchange Commission brought civil-fraud charges against Goldman in April.

After numerous tips the Securities and Exchange Commission (SEC) investigated him.

Goldman was accused of fraud by the Securities and Exchange Commission in a lawsuit filed April 16.

Shares will be listed on the Nasdaq later this year, according to a filing with the Securities and Exchange Commission.

Lehman Brothers detailed payments to 35 professional firms in papers filed with the Securities and Exchange Commission on Monday.

Nor can some officials of the Securities and Exchange Commission, it seems.

A spokesman for the Securities and Exchange Commission declined to comment.

They also accuse the New York Fed of improperly concealing details of the $27. 1bn in payments from the Securities and Exchange Commission.

The Securities and Exchange Commission, the US regulator, is expected to push for allowing US multinationals to use IFRS by 2011.

An embarrassing deal with the Securities and Exchange Commission (SEC) on August 4th tarnished both.

Then there is the Securities and Exchange Commission, which raised acceptable levels of leverage for financial institutions.

The ban was lifted by the US Securities and Exchange Commission late on Wednesday night.

With this Act, Congress created the Securities and Exchange Commission.

The announcement came today in an 8-K report to the Securities and Exchange Commission.

America's Securities and Exchange Commission (SEC) subpoenaed Deloitte's working papers for the Longtop audit in May.

The trust would also need approval by the courts and the Securities and Exchange Commission.

The Securities and Exchange Commission in 1934 was given responsibility for overseeing securities markets.

The survey polled the views of project leaders from 22 UK companies registered with the US Securities and Exchange Commission.

Try The Securities and Exchange Commission's EDGAR Public Dissemination Service (edgarcompany. sec. gov).

The Securities and Exchange Commission was created in the 1930s to enforce federal securities laws and regulate capital markets.

Both were later charged by the Securities and Exchange Commission.

The company confirmed the move, which was made on Friday and filed with the Securities and Exchange Commission.

The Securities and Exchange Commission twice this year imposed a partial ban on short selling.

The Securities and Exchange Commission also filed a civil complaint against them.

The Securities and Exchange Commission failed the investors he supposedly swindled over many years.

The Securities and Exchange Commission (SEC) frets that looser rules will let key derivative traders, such as hedge funds, off the hook.

The calculations are according to the companies' filings with the Securities and Exchange Commission.

A related civil case was filed by the Securities and Exchange Commission.

US Securities and Exchange Commission to report investment fraud.

A-Power said it will delay filing its annual report with the Securities and Exchange Commission.

The Securities and Exchange Commission takes a dimmer view of the investment bank's activities.

Still, Securities and Exchange Commission Chairman Christopher Cox wants his agency to reconsider some rules based on their costs.

The Securities and Exchange Commission is struggling to find the punishment to fit the crime.

A different problem for Facebook and Goldman is that Goldman's planned fund could fall foul of the Securities and Exchange Commission (SEC).

On April 16, the Securities and Exchange Commission filed a civil suit against Goldman over that transaction.

According to the Securities and Exchange Commission, it didn't tell those customers that Mr. Paulson had helped construct the portfolio.

The seven other ratings firms overseen by the Securities and Exchange Commission have around 82, 000 ratings.

The fund has raised $1. 22bn to date, according to a filing with the Securities and Exchange Commission.

but also the Securities and Exchange Commission, which enforces the FCPA provisions requiring accurate records of all business dealings.

Such disclosures about referral fees came only after prodding last year from the Securities and Exchange Commission.

In May, for example, Brocade paid $7m to the Securities and Exchange Commission to settle charges related to backdating.

The writer is adviser at the Carlyle Group and Goldman Sachs and former chairman of the Securities and Exchange Commission

The Northeast Regional Office of the Securities and Exchange Commission

Thailand Securities and Exchange Commission

Polish Securities and Exchange Commission, Poland

The Federal Drug Administration and U. S. Securities and Exchange Commission

SEC (Securities and Exchange Commission)

SEC (Securities and Exchange Commission), USA

Securities and Exchange Commission (SEC) (US)

U. S. Securities and Exchange Commission; SEC

U. S. Securities and Exchange Commission