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Government Agencies SEC


  • U.S. regulators accused a husband and wife in Hong Kong of insider trading stemming from their purchases of Dow Jones shares prior to News Corp.'s $5 billion takeover bid.

  • The U.S. Securities and Exchange Commission on Thursday charged a Wall Street investment banker with leaking confidential information about pending merger agreements, including a deal involving Texas utility giant TXU Corp.

  • SEC Is Conducting Informal Inquiry into Beazer Thursday, 3 May 2007 | 7:15 PM ET

    Beazer Homes USA said the U.S. SEC is conducting an informal inquiry to determine if the company or its employees had violated securities laws.

  • A.G. Edwards agreed to pay $3.86 million to settle charges that the firm failed to supervise brokers engaged in market timing of mutual funds, the U.S. Securities and Exchange Commission said.

  • Rent: Not the Musical Monday, 30 Apr 2007 | 10:31 AM ET

    So, as expected, Bristol-Myers Squibb posted its SEC filing with the employment terms for new CEO Jim Cornelius last Friday evening. On a conference call with reporters on Thursday, The New York Times' Stephanie Saul asked Chairman Jim Robinson if the drug company would continue paying $25,000 a month for Cornelius' Manhattan pad. He responded by saying that the terms of his employment would be disclosed in the SEC filing the following day but added, "I think you'll be pleased."

  • Robert Grady, managing director at the Carlyle Group, told CNBC’s “Morning Call” that Sarbanes-Oxley imposes unreasonable costs on small companies that may delay their decision to go public. But David Ruder, professor of law at Northwestern University and former SEC chairman, disagreed. “I think the internal control provisions under Section 404 are absolutely crucial to the management of and honesty of our businesses,” Ruder said.

  • Total CEO Summoned by SEC on Iran Deal Wednesday, 4 Apr 2007 | 2:44 AM ET

    The U.S. Securities and Exchange Commission and the U.S. Department of Justice have summoned the chief executive of French energy giant Total to explain the group's activities in Iran, a French newspaper said on Tuesday.

  • Shares of the world's second-largest personal computer maker  were slightly lower on Friday following the disclosure that  an internal audit of its accounting found evidence of misconduct, errors and deficiencies in its financial controls.

  • Dell Finds Evidence of Misconduct in Finance Probe Friday, 30 Mar 2007 | 9:14 AM ET

    The world's second-largest personal computer maker said it is working with its auditors and management to determine whether restatements of past financial statements are needed, and to see if the control deficiencies "constitute a material weakness" in its internal control over financial reporting.

  • The U.S. Securities and Exchange Commission said on Wednesday that it charged two former in-house lawyers at Enron with securities fraud.

  • Ernst & Young Is Censured, Fined $1.6 Million Tuesday, 27 Mar 2007 | 1:58 AM ET

    Federal regulators censured accounting firm Ernst & Young and ordered it to pay $1.6 million to settle charges of compromising its independence and contributing to faulty accounting by a client in 2001.

  • Stockman was the former chairman and CEO of Michigan-based Collins & Aikman, which makes auto parts. He served as budget director under President Reagan.

  • Icahn Urges Motorola Shareholders To Vote Him To Board Friday, 23 Mar 2007 | 10:41 AM ET

    Billionaire investor Carl Icahn is urging Motorola shareholders to vote him onto the company's board at its May 7 shareholder meeting, according to a proxy filed with the Securities and Exchange Commission on Friday.

  • Analysts: Subprime Woes Not Over Yet Tuesday, 13 Mar 2007 | 6:01 PM ET

    Subprime shakeout: New Century Financial had its NYSE trading suspended on Tuesday, facing delisting and an SEC accounting probe. Everyone suddenly seems to agree that the high-risk mortgage sector is in flux. Two analysts joined "Closing Bell" to talk about the current environment -- and what they see happening in the near future.

  • Wall Street may be losing its competitive edge to foreign markets because of increased government regulation, according to some business groups and legal experts.

  • Wall Street is losing its competitive edge to foreign markets because of an increasingly tough regulatory environment, legal experts told CNBC's "Power Lunch."

  • SEC_logo.jpg

    SEC Commissioner Paul Atkins told CNBC's Melissa Lee that the federal regulatory agency should focus on mutual funds and insider trading--not hedge funds.In a taped interview aired on "Squawk Box," Atkins called efforts to regulate hedge funds “not the wisest effort” A Congressional hearing on the issue is scheduled to begin Tuesday in Washington.

  • A bill that would give shareholders the right to cast non-binding votes on executive pay sparked sharp comments Thursday at a subcommittee hearing in Washington.

  • Register Hedge Funds? Experts Debate Dangers Thursday, 8 Mar 2007 | 1:46 PM ET

    There oughta be a law, says Sen. Charles "Chuck" Grassley (R-Iowa), that requires hedge funds to register with the Securities and Exchange Commission. Would the so-called Grassley Amendment produce healthy accountability -- or stifle investment? Ex-SEC Chairman Harvey Pitt and a Wharton professor debated the question on "Morning Call."

  • 'Say On Pay' Bill Discussed In Congressional Committee Thursday, 8 Mar 2007 | 12:44 PM ET

    Congress is considering a bill that would give shareholders the right to cast non-binding votes on executive pay and "golden parachutes" if the enterprise is sold. Opponents say the measure, HR 1257, would force CEOs to devote more time to meeting with advocacy groups and less time on planning and product development. Supporters say that unless pay is tied to performance, executives have incentive to cook the books.