In SEC v. Texas Gulf Sulphur Co. ( 1966 ), a federal circuit court stated that anyone in possession of inside information must either disclose the information or refrain from trading.

In 1984, the Supreme Court of the United States ruled in the case of Dirks v. SEC that tippees ( receivers of second-hand information ) are liable if they had reason to believe that the tipper had breached a fiduciary duty in disclosing confidential information and the tipper received any personal benefit from the disclosure.

See SEC v. W. J.

Howey Co. and SEC v.

See SEC v. Schlomo Teitelbaum, SEC News Digest http :// www. sec. gov / news / digest / 1981 / dig061181. pdf ( civil injunctive action, injunction granted ) and http :// www. sec. gov / news / digest / 1981 / dig012381. pdf ( criminal prosecution, concurrent 18 months sentence ).

SEC v. Chenery Corp., ( Dissenting opinion arguing that the decision permitted agencies to rule arbitrarily, without law ).

* In January 2009, Judge Scheindlin ruled in SEC v Collins & Aikman, a case which addresses discovery obligations of the Government in civil litigation.

* SEC v. Chenery Corp.,

* SEC v. Sloan, 436 US 103

In December 2011, Aon Corporation paid a $ 16. 26 million penalty to the US Securities and Exchange Commission ( SEC ) and the US Department of Justice ( DOJ ) for violations of the US Foreign Corrupt Practices Act ( FCPA ).

According to the SEC, Aon ’ s subsidiaries made improper payments of over $ 3. 6 million to government officials and third party facilitators in Costa Rica, Egypt, Vietnam, Indonesia, the United Arab Emirates, Myanmar and Bangladesh, between 1983 and 2007, in order to obtain and retain insurance contracts.

* Borland Software Corporation, U. S. Securities and Exchange Commission Form 8-K filing, July 27, 2009 ( formally notifying SEC of the Change of Control under which Borland became a Micro Focus subsidiary )

Shareholder nominations can only occur at the general meeting itself or through the prohibitively expensive process of mailing out ballots separately ; in May 2009 the SEC proposed a new rule allowing shareholders meeting certain criteria to add nominees to the proxy statement.

On August 19, 2003, the U. S. SEC charged Deutsche Bank with failing to disclose a material conflict of interest in its voting of client proxies for the merger and imposed a civil penalty of $ 750, 000.

The pair remain close although Cox was chairman of the U. S. Securities and Exchange Commission until he was forced to resign as chairman of the SEC on January 20, 2009 due to multiple allegations of fraud.

* Standards for Efficient Cryptography Group ( SECG ), SEC 1: Elliptic Curve Cryptography, Version 1. 0, September 20, 2000.

The Dodd-Frank Wall Street Reform Act was passed in the US in July 2010, and contains provisions which require hedge fund advisers with US $ 150 million or more in assets to register with the SEC.

Because of these regulatory restrictions on ownership, hedge funds have been exempted from mandatory registration with the US Securities and Exchange Commission ( SEC ) under the Investment Company Act of 1940, which is generally intended to regulate investment funds sold to retail investors.

Although under Section 3 ( c ) 7 a fund can have an unlimited number of investors, if a fund has any class of equity securities owned by more than 499 investors, it must register its securities with the SEC under the Securities Exchange Act of 1934.

The 1933 Act generally requires companies to file a registration statement with the SEC if they want to sell their securities publicly, or comply with private placement rules under the Act.

For SEC registered hedge fund advisers to charge an incentive or performance fee, the investors in the funds must be " qualified clients " as defined in the Investment Advisers Act of 1940 Rule 205 – 3.

Under the Dodd-Frank Act, the SEC is required to periodically adjust the qualified client standard for inflation.

Prior to the requirements of the Dodd-Frank Act, many hedge fund advisers voluntarily registered with the SEC.

Registered advisers must provide information about their business practices and disciplinary history to the SEC and investors.

In addition, they are required to maintain certain books and records and have their practices examined by SEC staff.

As a result of the Dodd-Frank Wall Street Reform Act, hedge fund advisers with at least US $ 15 million in assets under management were required to register with the SEC by March 30, 2012 ; smaller advisers are subject to state registration.

In December 2004, the SEC issued a rule change that required most hedge fund advisers to register with the SEC by February 1, 2006, as investment advisers under the Investment Advisers Act.

In July 2010 Dell agreed to pay a $ 4 million penalty to settle SEC charges of disclosure and accounting fraud in relation to undisclosed payments from Intel Corporation.

SEC was subsequently acquired by Data General Corporation, where Mundie later became director of its advanced development facility in Research Triangle Park, North Carolina.

SEC regulations also require that money market funds ( mutual funds that mimic the safety and liquidity of a bank savings deposit, but without Federal Deposit Insurance Corporation insurance ) comprise only securities with a very high NRSRO rating.

Roosevelt also created an alphabet soup of new federal regulatory agencies such as the U. S. Securities and Exchange Commission ( SEC ) to oversee the stock market, and a reform of the banking system that included a system of insurance for deposits ( the FDIC --- the Federal Deposit Insurance Corporation ).

* SEC filings of Zapata Corporation

He also served as Associate Director of the Division of Corporation Finance of the U. S. Securities and Exchange Commission ( SEC ).

Swiss Bank Corporation ( SEC ) ( German: Schweizerischer Bankverein ( SBV ), French: Société de Banque Suisse ( ABS ), Italian: Società di Banca Svizzera ) was a large integrated financial services company located in Switzerland.

MSRB rules are enforced by various other federal regulatory organizations, including the SEC, FINRA, the Federal Reserve System, the Federal Deposit Insurance Corporation ( FDIC ) and the Office of the Comptroller of the Currency ( OCC ).

On Oct. 2, 2009, West Corporation announced that it had filed a registration statement with the SEC relating to the proposed IPO of its common stock.

* State Engineering Corporation ( SEC )

As stated in SEC paperwork, on March 28, 2003, a wholly owned subsidiary, Trans-Lux Corporation, sold its custom sports division, including licensing of intellectual property and its

* John White, SEC Director of Corporation Finance

* SEC filing, listed on News Corporation website pertaining to sale of shares by Lachlan between 7 and 8 December 2009

SEC regulations also require that money market funds ( mutual funds that mimic the safety and liquidity of a bank savings deposit, but without Federal Deposit Insurance Corporation insurance ) comprise only securities with a very high rating from an NRSRO.