The State Securities Commission (Vietnam's equivalent of the Securities and Exchange Commission) says it has no idea how many Vietnamese are trading U.S. stocks.
CNN: U.S. stocks on the Internet appeal to Vietnamese investors
An earlier investigation by the state Securities Commission found that the actions of the association, i.e. giving investment advice for a fee, may have caused it to fall within the definition of investment adviser under Alabama law.
FORBES: SEC Snoozed As "Shadow Marketers" Skimmed Billions From Retirement Plans
Fahy is a private securities lawyer in Fort Worth, Texas, who previously worked for the Securities and Exchange Commission and the Texas State Securities Board.
The Securities and Exchange Commission and state regulators are looking into how individual investors were treated in the Facebook deal.
WSJ: Facebook Faces Lawsuits, Arbitration Over Its Initial Public Offering
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.
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.
Mr. Alioto never contacted the police, the Securities and Exchange Commission, or any State licensing division, never filed suit against Mr. Ratzenberger, and never had any written contract between himself and Mr. Ratzenberger.
The U.S. Securities and Exchange Commission, New York State Attorney General Eliot Spitzer and other authorities are likely to file court documents within a few weeks outlining the laws they believe the Wall Street firms broke and offering evidence to support their claims, according to Darren Dopp , a spokesman for Spitzer's office (the SEC declined comment).
Straight after the 1995 act, audit firms started doing less work, says Lynn Turner, formerly with the Securities and Exchange Commission but now at Colorado State University.
If all that weren't bad enough, the neophytes overseeing public pension plans are not subject to comprehensive federal or state regulation or to the strictures that the Securities and Exchange Commission imposes on private sector money managers.
During the aftermath of the tech crash, Securities and Exchange Commission (SEC) and several state Attorney Generals investigated Wall Street firms for conflicts of interest in earnings forecasting.
Under the JOBS Act, websites that want to act as crowdfunding investment platforms will have to register with the Securities and Exchange Commission, which must work with state regulators to make sure that all such crowdfunding is sound.
In addition, securitisers face probes by several state attorneys-general, the Internal Revenue Service, the Federal Bureau of Investigation, the Securities and Exchange Commission and the Justice Department, as well as lawsuits from investors and a rising number of stricken municipalities.
Gov. Kathleen Blanco and the State Legislature - which took this step at the initiative of Rep. Pete Schneider (R-Slidell) - are to be strongly commended, both for the contribution they are making to mitigate these funds' exposure to what the Securities and Exchange Commission calls 'global security risk' and, we hope, to denying state sponsors of terror the wherewithal they could use to harm Americans.
CENTERFORSECURITYPOLICY: Louisiana takes important step toward divesting terror
The Municipal Securities Rulemaking Board, a self-regulatory body that reports to the Securities and Exchange Commission, has proposed rules that would require brokers to ask clients about the importance of state tax benefits, explain a client's direct-sold in-state plan for comparison purposes, and determine what is most suitable for the client--instead of just pushing broker-sold out-of-state plans that might carry higher commissions for them.
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