Article: SEC Extends Emergency Rules Regarding Short Selling And Stock Repurchases.

Article: SEC proposes new rules over money managers ; ...
The Boston Globe;  May 15, 2009 ;     644 words ... ... About 11,000 money managers are registered with the SEC and most keep client ... Fewer than 200 money managers now undergo surprise audits, SEC staff told reporters ... meeting. Under current SEC rules, money managers aren't subject ...

Article: Money managers told to expect more scrutiny from ...
The Milwaukee Journal Sentinel;  June 20, 1996 ;     632 words ... ... approximately 1,200 money managers registered as ... Adams said. The SEC's Washington ... asked why the SEC was putting a ... spotlight on money managers when "financial ... accounts. The SEC most often finds money managers failing to include ...

Article: SEC charges Morgan Stanley with misleading clients; Firm ...
Investment News;  July 27, 2009 ;     700+ words ... ... clients about the money managers recommended to them ... According to the SEC, Morgan Stanley ... properly vetted money managers over a six-year ... disclosures, the SEC said. The SEC accused ... when recommending money managers who had not been ... associate director of ...

Article: SEC Disclosure Exemption Questioned; 25-50 Money ...
The Washington Post;  August 23, 1997 ;     700+ words ... ... Between 1,600 and 1,700 money managers and investment companies file 13F reports, and the SEC has allowed between 25 and ... law experts question the SEC policy of granting these ... Rob Rosenblum, a former SEC lawyer who is now at the ...

Article: SEC Holds Off on Divisive Rules; It Moves to Audit ...
The Washington Post;  October 6, 2009 ;     700+ words ... ... require new surprise audits of money managers to avoid a repeat of the Bernard ... the same time, however, the SEC is taking a more gradual approach ... Street an unfair advantage. The SEC has been under pressure to show ... funds. In coming days, the SEC is planning to release a draft ...

Article: Stock research is OK. A motorcycle isn't: the SEC takes a ...
U.S. News & World Report;  February 24, 1997 ;     700+ words ... ... Commission now is targeting money managers who do it wrong. The ... on the policy of many money managers--at both mutual funds ... hardly qualifies. The SEC has accused Tandem Management ... salaries and rent. The SEC says that some of Tandem ...

Article: Stock Allocations Probed at Wellington; SEC Checks ...
The Washington Post;  May 27, 2004 ;     700+ words ... ... We were informed by the SEC several months ago that it ... part of a broader look by the SEC at the issue of conflicts of interest in the way money managers allocate desirable stocks ... investigation is continuing. SEC Compliance Director Lori A ...