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You have executed a tag search on The Deal Pipeline. Below, you will find a comprehensive list of stories tagged "SEC."
12 result(s) displayed (121 - 132 of 206)
How Dodd-Frank aims to remedy the Morrison decision and extend the reach of the SEC. Continue reading
Posted on October 1, 2010 11:32 AM
With its case against Goldman Sachs, the SEC breaks new ground as the Sophisticated Investor's Advocate. Continue reading
Posted on October 1, 2010 11:30 AM
It's hard to believe that Fabrice Tourre was the mastermind behind an alleged securities fraud, but he's still in the dock, while his employer settled at a discount. Continue reading
Posted on July 30, 2010 11:35 AM
Goldman has agreed to settle for $550 million with the SEC for charges that the bank had misled investors in a mortgage derivatives deal done at the height of the subprime boom. Continue reading
Posted on July 16, 2010 10:58 AM
A new SEC rule requires public companies to improve their disclosure on climate change risks. Continue reading
Posted on June 21, 2010 1:33 PM
Here is the latest roundup of financial institutions rumored and reported to be hiring. Continue reading
Posted on June 15, 2010 11:07 AM
Traders question whether new SEC circuit breakers for individual stocks are too sensitive. Continue reading
Posted on June 4, 2010 11:56 AM
The SEC is expected to hold broker-dealers responsible for actions of clients who lease market access. Continue reading
Posted on May 14, 2010 12:56 PM
Peter Kaufman of the Gordian Group LLC tells Mary Kathleen Flynn that the SEC's case against Goldman Sachs is, "a convenient political tool to achieve sweeping reform." Continue reading
Posted on April 28, 2010 4:57 PM
The SEC's fraud case against Goldman, Sachs will give people ideas about other primary dealers in similar deals, says accounting consultant Francine McKenna. Continue reading
Posted on April 27, 2010 12:47 PM
Supporters say Mary Schapiro is righting what had been the sinking ship of the SEC. Others worry that there's quite a bit of business as usual. Continue reading
Posted on April 2, 2010 1:49 PM
Technically, Lehman did nothing wrong by trying to hide risk. The real culprit: a bright-line rule that invited exploitation. Continue reading
Posted on April 2, 2010 1:44 PM
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Ken deRegt will retire as head of fixed income at Morgan Stanley and be replaced by Michael Heaney and Robert Rooney. For other updates launch today's Movers & shakers slideshow.
Apax Partners offers $1.1 billion for Rue21, the same teenage fashion chain it took public in 2009. More video
