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 ).

A U. S. Securities and Exchange Commission investigation did result in convictions against the McDougals for their role in the Whitewater project, but the Clintons themselves were never charged, and Clinton maintains innocence in the affair.

* 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 )

1965 ), former Chairman of the Securities and Exchange Commission

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.

Most of the regulations on business were ended about 1975 – 85, except for the regulation of Wall Street by the Securities and Exchange Commission, which still exists.

In the United States, the Federal Trade Commission has oversight of franchising, rather than the U. S. Securities and Exchange Commission.

* U. S. Securities and Exchange Commission

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.

Because hedge funds do not have publicly traded securities, they are not subject to all of the reporting requirements of the Securities Exchange Act of 1934.

These trades are made public in the United States through Securities and Exchange Commission filings, mainly Form 4.

Sections 16 ( b ) and 10 ( b ) of the Securities Exchange Act of 1934 directly and indirectly address insider trading.

Nevertheless, the U. S. Securities and Exchange Commission prosecutes over 50 cases each year, with many being settled administratively out of court.

Thomas Newkirk and Melissa Robertson of the U. S. Securities and Exchange Commission ( SEC ) summarize the development of U. S. insider trading laws.

In 1909, well before the Securities Exchange Act was passed, the United States Supreme Court ruled that a corporate director who bought that company ’ s stock when he knew it was about to jump up in price committed fraud by buying while not disclosing his inside information.

Section 15 of the Securities Act of 1933 contained prohibitions of fraud in the sale of securities which were greatly strengthened by the Securities Exchange Act of 1934.

Section 16 ( b ) of the Securities Exchange Act of 1934 prohibits short-swing profits ( from any purchases and sales within any six month period ) made by corporate directors, officers, or stockholders owning more than 10 % of a firm ’ s shares.

* 1934 – New Deal: U. S. President Franklin D. Roosevelt signs the Securities Act of 1933 into law, establishing the U. S. Securities and Exchange Commission.

The group finally declared its full autonomy and incorporated legally with Securities and Exchange Commission of the Philippines and was approved on December 7, 2011 with papers held for by present procurators.

Milken was sentenced to ten years in prison and permanently barred from the securities industry by the Securities and Exchange Commission.

Dan Stone, a former Drexel executive, wrote in his book April Fools that Milken was under nearly-constant scrutiny from the Securities and Exchange Commission from 1979 onward due to unethical and sometimes illegal behavior in the high-yield department.

To qualify for listing on the exchange, a company must be registered with the United States Securities and Exchange Commission ( SEC ), have at least three market makers ( financial firms that act as brokers or dealers for specific securities ) and meet minimum requirements for assets, capital, public shares, and shareholders.

* Australian Securities and Investments Commission, an independent Australian government body that acts as Australia's corporate regulator

* Australian Company Number, number issued by the Australian Securities and Investments Commission to registered companies

* 1933 – New Deal: The U. S. Federal Securities Act is signed into law requiring the registration of securities with the Federal Trade Commission.

** New Deal: The Federal Securities Act is signed into law, requiring the registration of securities with the Federal Trade Commission.

* June 6 – New Deal: U. S. President Franklin D. Roosevelt signs the Securities Exchange Act into law, establishing the U. S. Securities and Exchange Commission.

The PIPVTR is an independent, non-stock, non-profit, non-governmental research organization officially registered at the Securities and Exchange Commission ( SEC ) on 29 November 2007 as Philippine Institute for Political Violence and Terrorism Research.

Since the U. S. Securities and Exchange Commission does not allow convicted felons to audit public companies, the firm agreed to surrender its CPA licenses and its right to practice before the SEC on August 31, 2002-effectively putting the firm out of business.

Financial regulators, such as the UK's Financial Services Authority ( FSA ) or the U. S. Securities and Exchange Commission ( SEC ), oversee the capital markets in their designated jurisdictions to ensure that investors are protected against fraud, among other duties.

In the United States, the public offer and sale of securities must be either registered pursuant to a registration statement that is filed with the U. S. Securities and Exchange Commission ( SEC ) or are offered and sold pursuant to an exemption therefrom.

* North American Company, an electric utility holding company, broken up by the U. S. Securities and Exchange Commission ( SEC ) in 1946.

The U. S. Securities and Exchange Commission ( frequently abbreviated SEC ) is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States.

In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes – Oxley Act of 2002 and other statutes.

The SEC was created by Section 4 of the Securities Exchange Act of 1934 ( now codified as and commonly referred to as the 1934 Act ).

Entities under the SEC ’ s authority include securities exchanges with physical trading floors such as the New York Stock Exchange ( NYSE ), self-regulatory organizations ( SROs ) such as the National Association of Securities Dealers ( NASD ), the Municipal Securities Rulemaking Board ( MSRB ), online trading platforms such as The NASDAQ Stock Market ( NASDAQ ) and ATS, and any other persons ( e. g., securities brokers ) engaged in transactions for the accounts of others.

* 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.

However, as crude and gasoline prices continued to rise between 2007 and 2008 this practice became so contentious that in June 2008 the Commodity Futures Trading Commission, the Federal Reserve, and the U. S. Securities and Exchange Commission ( SEC ) decided to create task forces to investigate whether this took place.

To increase public trust in the capital markets the United States President, Franklin D. Roosevelt, established the U. S. Securities and Exchange Commission ( SEC ).

* U. S. Securities and Exchange Commission ( SEC )

On February 13, 1990 after being advised by United States Secretary of the Treasury Nicholas F. Brady, the U. S. Securities and Exchange Commission ( SEC ), the New York Stock Exchange, and the Federal Reserve, Drexel Burnham Lambert officially filed for Chapter 11 bankruptcy protection.

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 ).