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.

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.

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 ".

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.

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.

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 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.

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.

The act requires advisers with private pools of capital exceeding US $ 150 million or more in assets to register with the SEC as investment advisers and become subject to all rules which apply to registered advisers by July 21, 2011.

This will significantly increase the number of hedge funds under state supervision, as the threshold for SEC regulation was previously US $ 30 million.

In addition to US hedge funds, many overseas funds with more than 15 US clients and investors, and managing more than US $ 25 million for these clients, are to register with the SEC by March 30, 2012.

Funds with more than 15 US clients and investors managing US $ 25 million or more will have to register with the SEC by July 21, 2011.

Pequot settled with the SEC for US $ 28 million and Arthur J. Samberg, chief investment officer of Pequot, was barred from working as an investment advisor.

At the same time, he agreed to a settlement with the SEC in which he paid $ 400 million to investors who had been hurt by his actions.

* March 17 Merrill Lynch, its four former executives and the SEC agree to settle the Enron security fraud case for $ 80 million.

Under the bankruptcy reorganization agreement, the company paid $ 750 million to the SEC in cash and stock in the new MCI, which was intended to be paid to wronged investors.

The SEC and Worldcom reached a deal in which Worldcom agreed to pay a civil penalty of $ 2. 25 billion.

In 2003, Morgan Stanley agreed to pay $ 125 million in order to settle its portion of a $ 1. 4 billion settlement brought by Eliott Spitzer, the Attorney General of New York, the National Association of Securities Dealers ( now the Financial Industry Regulatory Authority ( FINRA )), the United States Securities and Exchange Commission, ( SEC ) and a number of state securities regulators, relating to intentionally misleading research motivated by a desire to win investment banking business with the companies covered.

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.

The conference is one of the most successful financially, consistently leading most conferences in revenue distribution to its members, including an SEC record $ 220. 0 million for the 2010 – 2011 fiscal year.

ESPN reported paying $ 2. 25 billion for broadcast rights of SEC football games beginning in the 2009 season and running through the fiscal year 2025.

In August 2008, the SEC announced an unprecedented 15-year television contract with CBS worth an estimated $ 55 million a year.

" The conclusion of the Office of Economic Analysis is that, because the price of Harken did not immediately react to the earnings announcement and there is no news that explains Harken's return to its pre-announcement price of $ 3 on August 21, 1990, the earnings announcement did not provide investors with new material information ," the SEC wrote.

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.

The Securities and Exchange Commission ( SEC ) had ruled that money market funds could “ redeem ” investor shares at a $ 1 stable “ net asset value ” despite daily fluctuations in the value of the securities held by the funds.