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.

SEC Commissioner Kathleen Casey has said that these CRAs have acted much like Fannie Mae, Freddie Mac and other companies that dominate the market because of government actions.

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 interpreted the intention of Sec.

Late trading was illegal under U. S. Securities and Exchange Commission ( SEC ) regulations prior to 2003, and New York's Martin Act can be interpreted to prohibit late trading as well, due to the unfair advantage the late trader gains over other traders.

Shortly thereafter, the company ’ s audit committee and board of directors were notified of the fraud and acted swiftly: Sullivan was fired, Myers resigned, Arthur Andersen withdrew its audit opinion for 2001, and the U. S. Securities and Exchange Commission ( SEC ) launched an investigation into these matters on June 26, 2002 ( see accounting scandals ).

At the same time, the SEC split into two divisions — a Western Division comprising most of the schools in the Central Time Zone, and an Eastern Division comprising the schools in the Eastern Time Zone plus Vanderbilt ( which is located in the Central Time Zone, but is in the Eastern Division to preserve its rivalry with Tennessee ).

As a result of this, Stathis stated that he felt bullied and did not release the SEC compliant into the public domain until a year later.

In April 2007, the SEC brought charges against Park Financial Group as a result of an investigation into a pump and dump scheme during 2002-2003 of the Pink Sheet listed stock of Spear & Jackson Inc.

The complaint also revealed that Minkow had sent his allegations to the FBI, SEC and IRS, and that the three agencies found his claims credible enough to open a formal criminal investigation into Lennar's practices.

During a SEC investigation Grasso invoked his fifth amendment rights against self-incrimination in refusing to answer questions regarding his conduct during an NYSE investigation into possibly improper activities by Exchange specialist firms.

In 2001, despite coming into the series in last place in the SEC West, Arkansas swept a three-game series from top-ranked LSU, which won the 2000 College World Series, in Fayetteville.

The 1976 Florida Gators were 6 – 1 and ranked No. 10 coming into the game, and again seeking to secure their first SEC football championship.

Coming into the game, the Bulldogs and Gators were both ranked in the top-10, and the winner would have the inside track in the SEC Eastern Division race and a possible shot at a national title.

Legislation enacted at the request of Treasury, the Federal Reserve Board, and the SEC in 1998 limited the CFTC's rulemaking authority with respect to swaps and hybrid instruments until March 30, 1999, and froze the pre-existing legal status of swap agreements and hybrid instruments entered into in reliance on the Swap Exemption, the Hybrid Instrument Rule, the Swap Policy Statement, or the Hybrid Interpretation.

To bring the activities into broker-dealer supervision, the SEC proposed relaxed net capital and other rules ( known as “ Broker-Dealer Lite ”) for OTC derivatives dealers.

The CFTC expressed dismay over the Broker-Dealer Lite proposal and the manner in which it was issued, but also noted it was 18 months into a “ comprehensive regulatory reform effort .” The same day the CFTC issued its “ concept release ” Treasury Secretary Robert Rubin, Federal Reserve Board Chair Alan Greenspan, and SEC Chair Arthur Levitt ( who, along with CFTC Chair Brooksley Born, were the members of the PWG ) issued a letter asking Congress to prevent the CFTC from changing its existing treatment of OTC derivatives.

The PWG Report recommended: ( 1 ) the codification into the CEA, as an “ exclusion ”, of existing regulatory exemptions for OTC financial derivatives, revised to permit electronic trading between “ eligible swaps participants ” ( acting as “ principals ”) and to even allow standardized ( i. e. “ fungible ”) contracts subject to “ regulated ” clearing ; ( 2 ) continuation of the existing CFTC authority to exempt other non-agricultural commodities ( such as energy products ) from provisions of the CEA ; ( 3 ) continuation of existing exemptions for “ hybrid instruments ” expanded to cover the Shad-Johnson Accord ( thereby exempting from the CEA any hybrid that could be viewed as a future on a “ non-exempt security ”), and a prohibition on the CFTC changing the exemption without the agreement of the other members of the PWG ; ( 4 ) continuation of the preemption of state laws that might otherwise make any “ excluded ” or “ exempted ” transactions illegal as gambling or otherwise ; ( 5 ) as previously recommended by the PWG in its report on hedge funds, the expansion of SEC and CFTC “ risk assessment ” oversight of affiliates of securities firms and commodity firms engaged in OTC derivatives activities to ensure they did not endanger affiliated broker-dealers or futures commission merchants ; ( 6 ) encouraging the CFTC to grant broad “ deregulation ” of existing exchange trading to reflect differences in ( A ) the susceptibility of commodities to price manipulation and ( B ) the “ sophistication ” and financial strength of the parties permitted to trade on the exchange ; and ( 7 ) permission for single stock and narrow index stock futures on terms to be agreed between the CFTC and SEC.

Lazio was dogged during the senatorial campaign with questioning by the SEC into his stock option transactions ( e. g., Quick & Reilly, Monsanto, U. S. Filter ).

The Dodd – Frank Wall Street Reform and Consumer Protection Act, signed into law in July 2010, included provisions in section 929I that shielded the Securities and Exchange Commission ( SEC ) from requests under the Freedom of Information Act.

"--- calling the end of the Auburn game in 1982, after seeing the Georgia fans who had brought sugar packets into the stadium and were throwing sugar into the air at the end of the game symbolic of the SEC Title and Sugar Bowl bid that UGA had just secured with that victory.

Known at first as the SEC and later S coupé, it was spun off into its own, current name in 1996 and in 1997 for North American markets.

The IASCA, which went into effect on July 8, 1997, basically requires the SEC to supervise and register those investment advisers managing $ 25 million or more in client assets.

In 2003, the company was one of ten firms which simultaneously entered into a settlement with the U. S. Securities and Exchange Commission ( SEC ), the Office of the New York State Attorney General and various other securities regulators, regarding undue influence over each firm's research analysts by its investment-banking divisions.

Nonetheless, the SEC investigation, which lasted three years, caused the company virtually to liquidate, although a few outlets continued to function into the 1980s.

In 1970, Vesco began a successful takeover bid for Investors Overseas Service, Ltd., a mutual fund investment firm with holdings of $ 1. 5 billion run by financier Bernard Cornfeld, who had run into trouble with the SEC.

Shortly before his departure, hoping to shut off the SEC investigation into his activities, Vesco routed substantial contributions to Richard Nixon through his nephew, Donald A. Nixon.