Steven Wallman was Commissioner of the U. S. Securities and Exchange Commission ( SEC ) from 1994 to 1997, for which he was appointed by Bill Clinton.

He was the primary Nashville and Middle Tennessee sports man for most of the 50-plus years he was the Sports Editor at the Banner, having close friendships with the notable Nashville sports leaders of the era, such as Ed Temple, Larry Schmittou, future SEC Commissioner Roy Kramer and many others.

Other prominent SEC commissioners and chairmen include William O. Douglas ( who went on to be a U. S. Supreme Court justice ), Jerome Frank ( one of the leaders of the legal realism movement ) and William J. Casey ( who would later head the Central Intelligence Agency under President Ronald Reagan ).

Vesco had wanted Attorney General John N. Mitchell to intercede on his behalf with SEC chairman William J. Casey.

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 SEC is focusing resources on investigating insider trading by hedge funds, though a statement by SEC Enforcement Director Robert Khuzami put some of its impact in question and Senator Chuck Grassley has asked for an explanation of Khuzami's remarks.

* October 22 Enron announces that the U. S. Securities and Exchange Commission ( SEC ) has begun an inquiry into Enron's accounting practices with its partnerships.

It has largely replaced the older Standard Industrial Classification ( SIC ) system ; however, certain government departments and agencies, such as the U. S. Securities and Exchange Commission ( SEC ), still use the SIC codes.

* Inadequate funding of the SEC: The SEC budget has steadily increased to nearly double the pre-SOX level.

The complaint argues that because the PCAOB has regulatory powers over the accounting industry, its officers should be appointed by the President, rather than the SEC.

The SEC has awarded the county $ 75 million in compensation relation to “ unlawful payments ” against JP Morgan and in addition the company will forfeit $ 647 million of future fees.

CBS also has the rights for the SEC Championship Game.

This continues the relationship the SEC already has with CBS, which puts the SEC in the unique position as the only conference to have its own exclusive national television network of the four major over-the-air broadcast networks ( CBS, NBC, ABC, Fox ) to display the SEC's events.

With these contracts, the SEC has, outside the Big Ten, the richest television deals in the country and will make the SEC the most nationally televised and visible conference in the country with the coverage that is provided by these contracts.

However, as there are various measure of the size of a macromolecule ( for instance, the radius of gyration and the hydrodynamic radius ), a fundamental problem in the theory of SEC has been the choice of a proper molecular size parameter by which molecules of different kinds are separated.

The Sportsplex has hosted the SEC Women's Soccer Tournament on numerous occasions in addition to the NCAA Division II men and women's soccer tournament.

Since then it has since lost 75-80 % of its value by 2005, amid earnings declines, as well as an SEC investigation over the company's alleged improper accounting practices.

The SEC has legal authority to establish financial accounting and reporting standards for publicly held companies under the Securities Exchange Act of 1934.

The US SEC, for example, permits certain bond issuers to use a shortened prospectus form when issuing bonds if the issuer is older, has issued bonds before, and has a credit rating above a certain level.

In the United States, since 1975, NRSRO recognition has been granted through a " No Action Letter " sent by the SEC staff.

The SEC has since sought to further define the criteria it uses when making this assessment, and in March 2005 published a proposed regulation to this effect.

According to professor Frank Partnoy, the regulation of CRAs by the Securities and Exchange Commission ( SEC ) and the FED has eliminated competition between CRAs and practically forced market participants to use the services of the three big agencies, Standard and Poor's, Moody's and Fitch.

In the United States, the SEC has generally deferred to the accounting industry ( acting through various organisations throughout the years ) as to the accounting standards for financial reporting, and the U. S. Congress has deferred to the SEC.

The SEC said the company made more than $ 4 million in profit from the sale of vehicles and spare parts in the corrupt Oil-for-Food deals.

The Center for Public Integrity said of this episode-" The documents from the SEC inquiry show that Harken Energy engaged in questionable accounting practices as they attempted to stave off a financial crisis in 1989 and 1990.

When asked about the issue of excessive CEO pay, Welch has said that such allegations are " outrageous " and has vehemently opposed proposed SEC regulations affecting executive compensation.

The SEC said Mudd ’ s misconduct included knowingly giving false testimony to Congress.

Its larger competitor, CME Group Inc., hasn ’ t received an SEC exemption, and agency spokesman John Nester said he didn ’ t know when a decision would be made.

But the SEC appealed, and in September 2010 an appeals court said that the district court had erred and that further proceedings would be necessary to address the merits of the suit.

The Securities and Exchange Commission ( SEC ) has said that an adviser has a duty to:

In SEC v. Chenery Corporation 318 U. S. 80 ( 1943 ), Frankfurter J said,

In a 2011 article by Matt Taibi, SEC whistleblowers said that complaining to the SEC OIG was " well-known to be a career-killer.

" This acquisition provides solutions that optimize application development organizations through the automation of testing, support and maintenance processes and enables dramatic increases in development outputs ," it said in the 10K report filed with the SEC.

In the May SEC report, it said " The BladeLogic acquisition expands our offerings for server provisioning, application release management, as well as configuration automation and compliance.

An official at the Department of Justice said, “ The company ’ s immediate self-reporting, thorough internal investigation, full cooperation with SEC staff, enhanced anti-corruption procedures and enhanced training made it an appropriate candidate for the Enforcement Division ’ s first Deferred Prosecution Agreement .”

Cramer said this practice, although illegal, is easy to do " because the SEC doesn't understand it.

The SEC then began to back away from the subpoenas, indicating it had no intention of enforcing them after lawyers for Dow Jones said they would not comply.

The U. S. Securities and Exchange Commission ( SEC ) has said that " these fraudulent schemes involve the purported issuance, trading, or use of so-called ' prime ' bank, ' prime ' European bank or ' prime ' world bank financial instruments, or other ' high yield investment programs.

" The SEC said Mudd ’ s misconduct included knowingly giving false testimony to Congress ", a report continued, while Mudd said " the government approved Fannie Mae ’ s disclosures during his tenure ".

The SEC said $ 60 million of Sunbeam's supposed record $ 189 million earnings for 1997 were the result of fraudulent accounting.

On July 3, 2008 Wachtell, Lipton, Rosen & Katz, an adviser on mergers and acquisitions, said short-selling was at record levels and asked the SEC to take urgent action and reinstate the 70-year-old uptick rule.

On September 18, 2008, presidential candidate and Senator John McCain ( R-AZ ) said that the SEC allowed short-selling to turn " our markets into a casino.

On October 6, 2008, Erik Sirri, director of the Securities and Exchange Commission's Division of Trading and Markets, said that the SEC is considering bringing back the uptick rule, stating, " It's something we have talked about and it may be something that we in fact do.

On January 20, 2009, Ackerman received a letter from Chairman Cox — written the day he left the SEC — in which Cox said he supports the reinstatement of an uptick rule.

He said when he was the head of the SEC that he had wanted to spend a third of his life learning, a third earning, and a third serving.