Examine the logic: The SEC regularly inspects money managers for compliance with the federal securities laws.
FORBES: No Freedom of Information When It Comes to Money Managers (November 1, 2000)
Did Skilling and Lay violate federal securities laws requiring financial statements to be truthful and reliable?
The Commission sanctioned the Direct Edge entities for violations of the federal securities laws.
FORBES: Reg SCI Gets A 'Yes But' From SEC Commissioner Aguilar
Limitations of liability are generally not permitted under the federal securities laws in money management contracts.
TheStreet agreed to be permanently enjoined from future violations of the federal securities laws.
FORBES: SEC Charges TheStreet, 3 Execs With Accounting Fraud
Bulletin Board companies file audited financial statements with the SEC and comply with federal securities laws.
But federal securities law prohibits RICO claims when simple fraud claims can be brought instead.
The matter involves the alleged disclosure of confidential information in violation of various federal securities laws.
If claims about investment results are untrue, they may violate the antifraud provisions of federal securities laws.
When William Cary took over as SEC chairman in March, 1961, federal securities law did not prohibit insider trading.
FORBES: The Obscure Insider Trading Case That Started It All
Every mutual fund company is inspected by the SEC every few years for compliance with the federal securities laws.
FORBES: 401(k)s: Far More Dangerous Than IRAs (March 2, 2001)
Indeed, the federal securities laws prohibit most people from investing in these funds and exclude venture funds from regulation.
FORBES: Pensions Funds: Funding Unsavory Practices of Venture Capitalists (May 1, 2000)
Whether the Court will agree with me depends on their definition of the word "scheme" under the federal securities statute.
Investment advisers regularly, every three to five years, undergo inspection by the SEC for compliance with the federal securities laws.
FORBES: No Freedom of Information When It Comes to Money Managers (November 1, 2000)
Today certain industries hide behind the limited disclosure requirements of the federal securities laws as a defense against greater disclosure.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
Coalition members also wrote to the heads of the New York Stock Exchange and the federal Securities and Exchange Commission.
The U.S. Securities and Exchange Commission is charged with regulating the markets and protecting investors by upholding federal securities laws.
As a result, the money management industry is now clinging to the federal securities laws to shield it from curious investors.
This consultant and a money manager shared a common parent company and therefore, under the federal securities laws, they were affiliated.
FORBES: The Future of the Consulting Industry Speech, (September 19, 2005)
Mutual fund investors call the fund company and their shares are redeemed immediately, as is required under the federal securities laws.
FORBES: 401(k)s: Far More Dangerous Than IRAs (March 2, 2001)
The companies will continue to file reports with the Securities and Exchange Commission, and they remain subject to federal securities laws.
The whistleblower program mandates that the SEC must pay individuals bounties if they come forward to report violations of federal securities laws.
For example, investment advisers regularly, every three to five years, undergo inspection by the SEC for compliance with the federal securities laws.
In all three cases, however, the majority upheld what it believes is the letter of federal securities law and rejected broader interpretations.
FORBES: Supreme Court Rejects Broader Liability In Janus Case
In addition to breaches of fiduciary duty by consultants, we believe that certain consultant misrepresentations may actually involve violations of the federal securities laws.
Although Schneiderman is in a unique position that allows him to prosecute financial fraud under rules separate from federal securities laws under the Martin Act.
Worse, lawsuits have raised disturbing questions about New Life, and the way it pays planners a commission on client donations may violate federal securities laws.
Many large managers have discovered that they can employ public relations firms to accomplish indirectly what the federal securities laws prohibit them from doing directly, e.g.
Today the SEC and the federal securities laws actually stand in the way of investors seeking accurate and complete information about the money managers they hire.
The first step in providing investors with a more complete picture of money managers is to make public all records required by the federal securities laws.
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