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SAC said it may not be able to provider investors with frequent updates regarding the government insider-trading probe but there will be "more clarity" soon.
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NEW YORK, May 17- Pension and endowment managers on Friday called on U.S. regulators to review the rules for shareholder voting after a firm collecting ballots for JPMorgan Chase& Co cut off the bank's opponents from polling information.
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SAC said it may not be able to provider investors with frequent updates regarding the government insider-trading probe but there will be "more clarity" soon.
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NEW YORK, May 17- Pension and endowment managers on Friday called on U.S. regulators to review the rules for shareholder voting after a firm collecting ballots for JPMorgan Chase& Co cut off polling information to the bank's opponents.
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WASHINGTON, May 17- A divided U.S. House of Representatives on Friday passed a Republican-sponsored bill that would force federal securities regulators to conduct more economic analysis before adopting rules for Wall Street. U.S. law already requires the SEC to consider the impact regulations would have on competition, efficiency and capital formation.
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WASHINGTON, May 17- A divided U.S. House of Representatives on Friday passed a Republican-sponsored bill that would force federal securities regulators to conduct more economic analysis before adopting rules for Wall Street. U.S. law already requires the SEC to consider the impact regulations would have on competition, efficiency and capital formation.
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WASHINGTON, May 17- A divided U.S. House of Representatives on Friday passed a Republican-sponsored bill that would force federal securities regulators to conduct more economic analysis before adopting rules for Wall Street.
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WASHINGTON, May 17- A divided U.S. House of Representatives passed a bill on Friday that would force federal securities regulators to conduct more economic analysis before adopting rules, in the latest partisan dispute over new rules of the road for Wall Street.
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NEW YORK-- Tesla Motors shares fell Friday as the electric car maker increased the size of its stock and note sales by nearly 17 percent. THE SPARK: Tesla disclosed in a regulatory filing that it now plans to sell 3.39 million shares in a public offering, and has priced them at $92.24 each, according to the filing with the Securities and Exchange Commission.
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Republicans on the House Financial Services Committee pressed the issue, saying they did not want the SEC to wade into politically charged rulemaking, especially after the recent revelation that the Internal Revenue Service targeted conservative groups.
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Hedge fund managers and investment gurus have to notify the SEC about their moves every quarter. Investors pore over this data in the belief the big fish have special insight.
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Stephen Cohen, SEC associate director; and Emile Werr, NYSE, discuss the tools used to ensure fairness of the markets and nab insider traders.
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*Jamil Bouchareb, Daniel Corbin settle civil cases. Jamil Bouchareb agreed to pay about $1.05 million and fellow trader Daniel Corbin agreed to pay about $191,000 in disgorged profit plus interest to settle the SEC's civil cases, after having previously pleaded guilty to related criminal charges.
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In a May 14 letter to the heads of the Federal Reserve, the Securities and Exchange Commission and the Justice Department, Massachusetts Democratic Senator Elizabeth Warren asks the agencies to provide her with details of how they weigh the costs and benefits of settling versus trying cases.
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In a May 14 letter to the heads of the Federal Reserve, the Securities and Exchange Commission and the Justice Department, Massachusetts Democratic Senator Elizabeth Warren asks the agencies to provide her with details of how they weigh the costs and benefits of settling versus trying cases.
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In impassioned speeches during a public roundtable Tuesday at the U.S. Securities and Exchange Commission, Minnesota Democrat Al Franken and Mississippi Republican Roger Wicker accused the big three rating agencies of issuing shoddy ratings, and blamed the problems on the "issuer-pay" model in which the firms are paid by the companies they rate.
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Fidelity Investments received permission from U.S. regulators to open its own actively managed exchange-traded funds.
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Boston- based Fidelity in December filed an application to set up a series of actively managed ETFs with the Securities and Exchange Commission, and the agency approved the request last week, spokesman Jeff Cathie said.
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Height Securities has drawn inquiries from the Securities and Exchange Commission and Iowa Republican Senator Charles Grassley since it correctly predicted on April 1 that President Barack Obama's administration would keep certain medical payment rates in place, prompting a spike in healthcare stocks before the official announcement came out.
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House Subcommittee holds roundtable on stock market structure, reports CNBC's Bob Pisani.
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May 13- U.S. fertilizer company Mosaic Co said it favors buybacks over dividends to deploy about $2 billion in surplus cash it expects to have as of May 31. The company has about $3 billion of debt capacity, Mosaic also said in a filing with the U.S. Securities and Exchange Commission on Monday.