sec
RSS secSEC, SOX, and CIOs: Ramifications of the Sarbanes-Oxley Act
White Paper SOX requires that each principal executive and principal financial officer of SEC-registered firms sign a statement declaring that policies and procedures are in place and working effectively to ensure accuracy in asset... [21 Dec 2004]
SEC takes action against online fraudster 'Tokyo Joe'
News The US Securities and Exchange Commission (SEC), has announced it is taking action against online stock tipster 'Tokyo Joe' Park for using his Internet-based investment advice service to drum up interest in stocks in... [07 Jan 2000]
SEC, SOX, and CIOs: Ramifications of the Sarbanes-Oxley Act
SOX requires that each principal executive and principal financial officer of SEC-registered firms sign a statement declaring that policies and procedures are in place and working effectively to ensure accuracy in asset... [21 Dec 2004]
SEC hits Informix over irregularities
News US financial regulator, the Securities and Exchange Commission (SEC), has found that Informix fraudulently exaggerated its profits in a case that has already cost the company nearly $100m. The SEC claims... [13 Jan 2000]
SEC puts online trading under the microscope
News A member of the US Securities and Exchange Commission (SEC) has called for an investigation into online trading. Online trading companies were criticised earlier this month by the SEC for a series of... [19 Feb 1999]
SEC takes legal action against online fraud
News The US Securities and Exchange Commission (SEC) is planning to take legal action against 14 cases of online fraud. In a statement, the SEC's director of enforcement, Richard Walker, said that the move... [13 May 1999]
SEC goes easy on accountants' consulting practices
News The SEC had originally proposed that accounting firms should not do any IT consulting for their audit clients as the enormous fees they were earning could prejudice the independence of the audit. Also, at a time when... [16 Nov 2000]
Compliance: SEC 17a-4/NASD 3010/3110
White Paper All aspects of the SEC and NASD regulations are effective today. In the wake of the 1928 stock market crash and the uncovering of widespread securities fraud, the U.S. Congress enacted the Securities Exchange Act of 1934. [15 May 2008]
This time in '99: SEC takes action against online brokers
News The US Securities and Exchange Commission (SEC) has taken its first regulatory action against an electronic brokerage firm. Although the company did not admit or deny the charges, the SEC's findings last... [18 May 2000]
Certification Requirements Under Section 906 of Sarbanes-Oxley Act of 2002 Raise Difficult Issues; SEC to Adopt Rules Under Section 302
White Paper As the SEC's regulations implementing the Section 302 certification requirements become effective, even in the absence of definitive SEC guidance on Section 906, one would expect that an effective... [24 Mar 2005]
SEC probes IBM
News The SEC has been investigating issues concerning the unnamed customer for some time, and IBM has been cooperating in that investigation, said an IBM representative. Big Blue says the SEC calls the action... [03 Jun 2003]
SEC takes action against online brokers
News The US Securities and Exchange Commission (SEC) has taken its first regulatory action against an electronic brokerage firm. Although the company did not admit or deny the charges, the SEC's findings last... [21 May 1999]
SEC rules could force Google IPO
News That means a private company must file forms with the Securities and Exchange Commission (SEC) each quarter that disclose operating expenses, profits, partnerships, shareholders and many other details - a laborious... [11 Dec 2003]
SEC cracks down on Internet fraud
News The US Securities and Exchange Commission (SEC) is planning to get tough on online trading. Speaking in Washington, SEC chairman, Arthur Levitt, laid out measures to reduce the risk for investors and... [05 May 1999]
SEC cracks down on runaway Net companies
News The US Securities and Exchange Commission (SEC) has imposed a two-week trading suspension on six Internet companies. In an unrelated action, the SEC has also suspended trading in USA Talks.com, a... [01 Feb 1999]
