Lipper gets its numbers from the "Statement of Additional Information" that funds file with the SEC.
Small-time frauds claiming to sell pre-IPO shares of companies like Facebook have already surfaced, according to the SEC.
In the past, these groups would have claimed tax-exempt status as Sec. 527 organizations.
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The bureau will have the authority to investigate and enforce violations much like the SEC.
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They continued to use the UBS analyst tips to trade, according to the SEC.
That deal is the only naming rights deal in basketball or football in the SEC.
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It seems, that even in prison, Madoff continues to receive special treatment from the SEC.
To learn more about Code Sec. 1411 and access the IRC section, click here.
The shadow of the Madoff debacle and other enforcement failures still hangs over the SEC.
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When you call the number on the sec.gov website with questions, the NASD answers the phone.
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Still, critics say that kind of conflict of interest is all too typical at the SEC.
Many simultaneously send out news releases or report the information in filings to the SEC.
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Jennifer Flachman, an Amerco spokeswoman, confirms that Amerco has received inquiries from the SEC.
It's simply that the NASD, lacking subpoena power, can only refer suspicions to the SEC.
Mr. Crist, an independent, sent a letter Saturday to U.S. Department of Homeland Security Sec.
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The annuity is equal to the value of what's been contributed plus the Sec. 7520 rate.
There are two reasons so many whistleblowers overseas are submitting their allegations to the SEC.
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Reynolds, a tobacco company, is defiantly keeping information about its legal costs from the SEC.
The increasing mantra is there are three professional football leagues, the NFC, AFC, and the SEC.
The actor agreed to go undercover after settling a case with the SEC.
O. 13211 applies to all Federal agencies, except for the independent regulatory agencies (Sec. 4(c)).
WHITEHOUSE: Memoranda 01-27 (Guidance for Implementing E.O. 13211)
But the process has dragged on in part due to staff turnover throughout the SEC.
This was not the first time Rakoff had threatened the status quo prized by the SEC.
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After the three testified, the presidents of two of the three firms were charged with fraud by the SEC.
But now that proposal, fought bitterly by the business lobby, looks dead because of a deadlock at the SEC.
Ricardo Salinas Pliego, the third-richest man in Mexico, disdains monopolies, dismisses minority shareholders and loves to trash the SEC.
Everyone is still eagerly awaiting the regulations that have yet to be released by the SEC.
The Three Star firmament always experiences a turnover that these days would raise eyebrows at the SEC.
In connection with the transaction, Clearwire will file a proxy statement and other materials with the SEC.
There are a number of new terms introduced by Code Sec. 1411 that may require further explanation.
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