More SEC Articles

  • Dodd-Frank at war with itself

    The difficulty of Dodd-Frank implementation is not primarily the regulators' fault; the problem comes from Dodd-Frank's determination to rely on government regulation as a cure for government policy distortions. Instead, let's work on getting rid of the distortions that encourage people to behave...

  • SEC needs to rethink its rules on proxy advisory firms

    On June 30, the Securities and Exchange Commission issued new rules clarifying the duties of proxy advisory firms that guide institutional investors voting their equity shares. Left unresolved by the SEC is an April rulemaking petition by business groups that asked the agency to reconsider its...

  • Morgan Stanley paying $275M to settle SEC charges

    WASHINGTON (AP) — Morgan Stanley has agreed to pay $275 million to settle U.S. civil charges that it misled investors about risky mortgage bonds it sold ahead of the 2008 financial crisis. The Securities and Exchange Commission announced the settlement Thursday with the Wall Street bank. The...

  • SEC considering action against S&P over ratings

    WASHINGTON (AP) — Standard & Poor's said Wednesday that regulators have told the rating agency they are considering taking civil enforcement action against it over ratings it gave to six deals in 2011 involving securities tied to commercial mortgages. S&P's parent McGraw Hill Financial Inc....

  • SEC votes to end $1 a share for some money funds

    WASHINGTON (AP) — Regulators have voted by a narrow margin to end a longtime staple of the investment industry — the fixed $1 share price for money-market mutual funds — at least for some money funds used by big investors. The idea is to minimize the risk of a mass withdrawal from the funds...

  • Derivatives regulator CFTC's 'revolving door' move to industry group criticized

    An outgoing commissioner of the regulatory agency that oversees derivatives contracts will become the CEO of the International Swaps and Derivatives Association, a trade group for firms that engage in derivatives transactions, according to a statement from the ISDA Wednesday.

  • Ernst & Young paying $4M to settle SEC charges

    WASHINGTON (AP) — Ernst & Young has agreed to pay $4 million to settle civil charges of compromising its independence by lobbying Congress on behalf of two companies whose books it audited. The Securities and Exchange Commission announced the settlement Monday with New York-based company, one...

  • Amedisys: SEC ends Medicare-related investigation

    BATON ROUGE, La. (AP) — The Securities and Exchange Commission has wrapped up an investigation into Amedisys' participation in the federal Medicare program, and no enforcement actions will be recommended, the home health care and hospice services provider says. The Baton Rouge, Louisiana,...

  • More scandals with lost emails are ahead if Congress doesn't enforce the record-keeping laws on the books

    A big majority of Americans believe the IRS scandal is serious and its investigation by Congress should continue until the full truth is known.

  • Manhattan Moment: Supreme Court leaves shareholders vulnerable to legal shakedowns

    On June 23, the Supreme Court made a minor tweak to securities class action litigation rules but let stand a 26-year-old decision that undergirds the federal shareholder shakedown apparatus.

  • House budget punishes IRS with 15% cut, halts Obamacare enforcement

    The Internal Revenue Service is about to get slapped with a harsh payback for messing around with conservative groups, blowing wads of tax dollars on employee conferences and helping implement Obamacare. The House Appropriations Committee is set to OK an IRS budget of $10.9 billion, $1.5...



From the Weekly Standard

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