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.240x180.jpg?v=1362070822 "ISS Settles Charges With SEC")
Institutional Shareholder Services will pay $300,000 to settle civil charges that one of its employees shared sensitive nonpublic information about clients, the SEC says.
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Exchanges and broker dealers are developing a plan to prevent the next Knight Trading catastrophe.
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MEXICO CITY, May 7- The family that holds a large stake in Mexican homebuilder Homex has been selling shares to meet margin calls on loans, according to a U.S. regulatory filing. The De Nicolas family's stake in the company shrank to 22.57 percent on May 3 from 27.53 percent last month, according to a filing with the U.S. Securities and Exchange Commission.
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WASHINGTON, May 7- Staff at the U.S. Securities and Exchange Commission have circulated a long-awaited draft proposing new reforms for the $2.6 trillion money market fund industry, people familiar with the matter told Reuters.
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MEXICO CITY, May 7- The family that holds a large stake in struggling Mexican homebuilder Homex has been selling shares to meet margin calls on loans, according to a U.S. regulatory filing. The De Nicolas family's stake in the company shrank to 22.57 percent on May 3 from 27.53 percent last month, according to a filing with the U.S. Securities and Exchange Commission.
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WASHINGTON, May 7- The new head of the U.S. Securities and Exchange Commission defended on Tuesday the agency's policy of letting firms settle civil charges without admitting or denying them, but also pledged to review the practice. The practice has come under fire from some federal judges and lawmakers who argue the SEC should insist on an admission of guilt.
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The city did not pay any monetary penalty as part of the settlement and the SEC did not name any particular individuals. She declined to say whether the SEC will consider charging any individuals in the Harrisburg case.
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The city did not pay any monetary penalty as part of the settlement and the SEC did not name any particular individuals. She declined to say whether the SEC will consider charging any individuals in the Harrisburg case.
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Harrisburg, which is under state receivership after its finances became mired by a scheme to upgrade a trash incinerator, agreed to settle the charges without admitting or denying the findings, the SEC said. The SEC said It was the first time it has charged a municipality for making misleading statements outside of securities disclosure documents.
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Harrisburg, which is under state receivership after its finances became mired by a scheme to upgrade a trash incinerator, agreed to settle the charges without admitting or denying the findings, the SEC said. The SEC said It was the first time it has charged a municipality for making misleading statements outside of securities disclosure documents.
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The SEC has charged the city of Harrisburg, PA for making fraudulent public statements, with CNBC's Scott Cohn.
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May 3- U.S. state securities regulators on Friday urged the SEC to prohibit Wall Street brokerages from requiring customers to settle legal disputes through arbitration, which prevents customers from going to court, joining a chorus of groups opposing such clauses.
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The parent company of Union Center National Bank said Vincent Tozzi is resigning as Chief Financial Officer of Center Bancorp and UCNB from May 31.
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In her first speech as SEC chief to the mutual fund industry, Mary Jo White did not provide details about the biggest regulatory threat to the fund companies.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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Newly-confirmed SEC chairman Mary Jo White made her first speech to the investment community at the Investment Company Institute, reports CNBC's Eamon Javers
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The parent company of Union Center National Bank said Vincent Tozzi is resigning as Chief Financial Officer of Center Bancorp and UCNB from May 31.
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Shareholder reports issued by Northern Lights Fund Trust and the Northern Lights Variable Trust misrepresented or omitted details the trustees considered in approving investment advisory contracts, the Securities and Exchange Commission said.