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.

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.

* Aiding and abetting another person's failure to file an accurate 13d statement with the SEC, since the schedule was not amended to reflect an understanding that any loss would be made up.

The 1992 and 1993 SEC Championships were held at Birmingham's Legion Field, and have since been held at the Georgia Dome in Atlanta.

However, since 2008 the U. S. Securities and Exchange Commission ( SEC ) allows foreign private issuers to use financial statements prepared in accordance with IFRS.

Acquicor completed the acquisition of Jazz Semiconductor in Newport Beach, California in early 2007 and has since been granted SEC approval.

McDonnell's men's teams have won 40 NCAA championships since 1984, including 11 cross country, 19 indoor track and 10 outdoor track along with 37 Southwest Conference Championships, and 38 of 40 SEC titles.

* 11 / 12 / 2005-Carolina beat # 12 Florida 30 – 22 to win its first game against the Gators since joining the SEC.

ESPN2 also aired the men's basketball SEC Championship Game in 2008 to most of the nation, since a storm damaged the initial site of the tournament, causing the schedule to be rearranged in conflict with CBS's coverage of the Big Ten Championship Game.

The addition of professional sports in Nashville initially hurt attendance, but since Vanderbilt's men's basketball team has returned to SEC contention under head coach Kevin Stallings, the gym has begun to sell out regularly once again.

This marked the school's first trip to the SEC Championship Game in Atlanta since the University of South Carolina joined the SEC in 1992.

AU Football has won eleven conference championships ( 7 SEC ), has had twelve undefeated seasons, and since the division of the conference in 1992, four western division championships ( 1997, 2000, 2004, 2010 ) and four trips to the SEC Championship game ( 1997, 2000, 2004, and 2010 ).

Auburn completed the 2004 football season with an unblemished 13 – 0 record winning the SEC championship, their first conference title since 1989 and their first outright title since 1987.

He finished with 123 tackles which led the SEC while also becoming the first non-linebacker to lead the team in tackles since records began in 1970.

The SEC viewed the payments as " kickbacks " in order to manage money for the New York State Common Retirement Fund since Morris was also a consultant to New York State Comptroller Alan Hevesi, who controlled the Retirement Fund.

In April 2004, the owners SEC Ltd again commissioned Foster and Partners to design a £ 562 million regeneration of the Queen's Dock area, under the name QD2 — so-called as this is the second regeneration of the former Queen's Dock area since the centre's inception.

SEC filings and state liquor control records available at that time indicated that there were at least 2, 500 strip clubs in the United States, and since that time, the number of clubs in the U. S. has grown.

In 1992, Stallings experienced defensive unit led the team to an undefeated regular season and a berth in the first SEC Championship Game where Alabama defeated Florida, 28 – 21, giving Alabama its 20th SEC title, and its first outright conference title since 1979.

They drubbed Georgia Tech 51 – 7 in Athens, the second most lopsided win in the history of the series, and then crushed Arkansas 30 – 3 in the SEC Championship game, giving the school its first SEC crown since 1982.

Partly as a result of this report, in June 2003, the SEC published a " concept release " called " Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws " that sought public comment on many of the issues raised in its report.

Long and Merriman ( who both became multi-millionaires in the deal ) continued in their roles with TM, but sought to buy back the company in 1976 when the U. S. Securities and Exchange Commission ( SEC ) began an investigation into Buckley ’ s business affairs, accusing him and several members of the Starr Broadcasting board of directors of fraud and misuse of shareholder ’ s funds.

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

A problem with selective disclosure that the U. S. Securities and Exchange Commission ( SEC ) sought to eliminate with Regulation Fair Disclosure ( a. k. a. Regulation FD or Reg FD ), is that it creates an uneven playing field for investors, allowing some investors to profit from material market moving information before others.

The Project on Government Oversight ( POGO ) released a report on May 13, 2011 which found that between 2006 and 2010, 219 former SEC employees sought to represent clients before the SEC.