Nester said the SEC has taken additional steps to enhance protections against "the potential for improper conduct, " including developing a new computer system to facilitate reporting and review of securities trading by all SEC personnel, hiring a chief compliance officer and providing greater clarity of rules governing the reporting of trades.
They provide the public all the SEC requires, nothing more, even though vastly superior disclosure is possible.
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It's usually necessary to have an offense (though critics of last year's All-SEC national championship game might disagree).
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However, these services should never have been provided at all per SEC independence rules -rules that pre-date Sarbanes-Oxley.
Rogers led the SEC in receptions last season with 67, accruing 1, 040 receiving yards and nine touchdowns en route to All-SEC honors.
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And with each of these schools having various degrees of success over time (all 5 SEC mentioned above have one national championship since 1998 except Auburn, who finished undefeated and 2nd nationally in 2004), this simply reaffirms fan interest and demand, which in turn re-enforces the pressures to win.
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What got the SEC all excited was discovering that Netflix CEO Reed Hastings in July had posted a status update to his Facebook page, letting people know that in June, Netflix for the first time had delivered a billion hours of programming.
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The SEC thinks Hastings broke disclosure rules (Reg FD) that say companies must make material information available to all investors simultaneously via SEC filing or press release.
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The SEC says all mutual funds must keep records of any personal trading violations by their portfolio managers.
On Wednesday, upon learning The Wall Street Journal was preparing an article on catch-all settlement talks, SEC enforcement chief Robert Khuzami grew furious and blasted Goldman.
So many of these auditors will have been issuing opinions for broker-dealers and FCMs that may have been sparsely or not at all inspected by the SEC, CFTC, FINRA or an SRO.
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In my experience whenever an employer-plan sponsor has an investment advisory affiliate, rest assured, that affiliate will be selected, out of all the thousands of SEC registered money managers, to manage employee retirement monies.
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The custodians are all regulated by the SEC and FINRA, audited by a nationally recognized accounting firm, and each account is protected for loss of securities by a combination of SIPC insurance and commercial excess Securities Investor Protection Corporation (SIPC).
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Before Navistar was finished with all the restatements, SEC investigations, lawsuits, fines, clawbacks and disciplinary actions against their former CFO and current CEO, internal investigations, restructuring, and delisting and eventual re-listing on the New York Stock Exchange, the company admitted as much.
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The SEC made sure to obtain all of the notes of the approximately six Milstream traders, and in the SEC's deposition of Gordon Henderson (the supervisor of Mr. Earle and the other traders), the SEC used other traders' notes along with those of Mr. Earle.
Still, critics say that kind of conflict of interest is all too typical at the SEC.
All the complexities of the SEC and Sarbox do not make Wall Street a safe place.
But of course, the SEC still outpaces all other conferences in terms of average and median coaching salaries.
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They need to meet the SEC mandate that all electronic communication must be stored on a central server.
In a sense, this development shouldn't be a surprise: All fraud charges in the SEC's arsenal have criminal counterparts.
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According to Aguirre, from 1999 to 2003, all 38 enforcement actions the SEC brought against hedge funds involved the funds victimizing their own investors.
Despite the obvious breaches of fiduciary duty involved in all these examples, the SEC has accepted industry assurances that no harm to investors results.
FORBES: SEC Takes Action Against Pension Advisers Callan and Yanni (September 25, 2007 )
The likeliest outcome is a double-headed regime, with the Fed as a stability regulator for large financial institutions of all types, and the SEC policing investor protection.
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Hold up Big Ten fans..before you start emailing me with all the reasons why the SEC number might be higher, let me explain another way to look at these numbers.
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The SEC currently requires all active ETFs to disclose their portfolio holdings daily, a nonstarter for most active managers, who are skittish about revealing too much of what they are buying and selling.
As a starting point, all road show presentations and related materials used in connection with the marketing of an IPO should be filed with the SEC and be available to all investors.
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On the other hand, I like the phased-in approach, I respect the idea that through December 2010 the SEC will be open to input from all market participants, but, even more, I appreciate that the SEC made a timely effort to at least do something.
FORBES: First Thing's First: Stock Circuit-Breakers In Place
In an attempt to create a single pool of liquidity out of the nation's fragmented markets and to make sure that investors all have access to the same best prices, the SEC ruled on April 6th that in a year's time all trades must be executed in the market where the best price is immediately available.
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