Lasser's dismissal followed charges by the U.S. Securities and Exchange Commission of securities fraud at Putnam, which allegedly failed to reveal trades employees conducted for personal profit and at the expense of mutual fund shareholders.
As an Indian civil servant for nearly 40 years, Mehta has held such positions as the Deputy Governor of the Indian Reserve Bank and Chairman of the Securities and Exchange Board of India (SEBI), which is the equivalent of the Securities and Exchange Commission (SEC) in the United States, among several other high-profile posts.
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This announcement contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.
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Forward-Looking Statements This announcement contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.
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But the municipal securities market is thinly traded and largely exempt from the controls of both the Securities Act of 1933 and the Securities Exchange Act of 1934.
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The Glass-Steagall banking Act of 1933, the Securities Act of 1933 or the Securities Exchange Act of 1934 were perhaps the most powerful and important financial laws ever created in the United States.
This release contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended.
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Investment companies are also subject to regulations of the Securities Act of 1933, FINRA, and the Securities Exchange Act of 1934.
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This press release contains forward-looking statements that are subject to the safe harbors created under the Securities Act of 1933 and the Securities Exchange Act of 1934.
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Ultimately, the legality of AOCs securitizing the care they provide patients falls to the Securities Act of 1933 and the Securities and Exchange Act of 1934, the two primary laws governing securitization.
US-64 to come under the scrutiny of the Securities Exchange Board of India, the stockmarket regulator.
The SEC charged Rajaratnam with violations of the Securities Exchange Act of 1934, while the extent of the criminal charges was not yet known.
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The SEC charged Dardenwith a single violation of the Securities Exchange Act of 1934, and sought injunctive relief, disgorgement of all ill-gotten gains (with interest), civil monetary penalties, and any other appropriate relief.
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Section 17(e) of the Securities Exchange Act of 1934 (as amended by the Sarbanes-Oxley Act of 2002) requires every registered broker or dealer to annually file certain financial statements with the SEC that are certified by an audit firm that is also registered with the PCAOB.
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The group filed its application Wednesday before the Securities Appellate Tribunal, which hears appeals against decisions of the Securities and Exchange Board of India.
If that happens, Mr. Goyal will need to get the approval of the Securities and Exchange Board of India, the country's capital markets regulator, in order to transfer his shares from Tail Winds.
It also recommends that the landmark Sarbanes-Oxley corporate governance act of 2002 be incorporated into the Securities Exchange Act of 1934, giving regulators more authority over corporate issues.
Concerns about the dual role and influence of Merrill and other pension advisers are coming to the fore because of the Securities and Exchange Commission examination of the pension-consulting business in general.
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Among potential problems with shorter settlement cycles were issues around securities lending, foreign exchange transaction and delivery of physical securities.
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Mary Schapiro, chairman of the Securities and Exchange Commission, the agency responsible for securities regulation, wrote a letter full of objections.
In the public sector, Bill Casey served as Chairman of the Securities and Exchange Commission, Undersecretary of State for Economic Affairs and President of the U.S. Export-Import Bank.
Christopher Cox, Commissioner of the Securities and Exchange Commission, former member of the U.S. House of Representatives.
That being said, the current leadership of the Securities Exchange Commission is in flux, with the recent departure of Enforcement Director Robert Khuzami, Chairman Mary Schapiro, and other key officials responsible for reshaping the agency in this vein.
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The U.S. Securities and Exchange Commission was a little slower in its review and rewriting of securities regulations to make way for exchange-traded products (ETPs).
Promontory counts Arthur Levitt, former chair of the Securities and Exchange Commission, as a member of its advisory board.
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Bovespa provides trading, clearing, custody, and other services with regulation of the financial markets by the Securities and Exchange Commission of Brazil.
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The independent consultants are scheduled to meet April 20 with the Securities and Exchange Commission, the National Association of Securities Dealers and the New York State attorney general.
After Spitzer grabbed the spotlight with his investigation, a spate of rival investigators vied for a piece of the action, including the SEC, the New York Stock Exchange, the National Association of Securities Dealers and the North American Securities Administrators Association, plus attorneys general and regulators in Alabama, Massachusetts, Indiana and elsewhere.
Today, he spoke with the former chairman of the Securities and Exchange Commission William Donaldson about how a lack of regulation helped create the downturn.
Some workers would pick stocks better than others (Arthur Levitt, the chairman of the Securities and Exchange Commission, claims that more than half of all Americans do not know the difference between an equity and a bond).
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