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What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 5540 Way Back
SEC - The United States Securities And Exchange Commission
 
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What is SEC? The United States Securities and Exchange Comission was founded years and years ago to protect participants of the stock market. SEC offers services for investors and traders. You can use SEC EDGAR search to find financial information about any public stock. The United States Securities and Exchange Commission was create to protect participants of the stock market and to regulate buying and selling processess.
Views: 5780 Joyful Investor
Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission
 
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Virtual Currencies: The Oversight Role of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission This is a video I believe anyone investing or getting into cryptocurrency should watch, understand, and learn. This meeting alone has been one of the reasons that nearly all cryptocurrencies are rising. The government can not regulate and is having problems with their own internal guidelines and rules for stocks, bonds, 401k, currency, and a whole bunch more. Why are they getting their hands into cryptocurrency? They do not have anything under control now. Should they start regulating Pokemon Cards as well? Some really good points being brought up for example with Russia and India wanting to create their own Cryptocurrency how will the United States try and regulate it. (Kinda funny the USA regulating a Russian or Indian currency... Good luck) I get the primary concern is ICO and Money Laundering. But it seem the US is about to go toe to toe with other countries and trying to enforce their regulation. No one controls Bitcoin and to them they think of this as an opportunity to tax people and make money. But they are finding out their hands are tied and no one supports what they want. Things are looking good for Bitcoin and Blockchain Technology. ---------- Crypto News TV Information ---------- **Crypto News TV Telegram Chat** http://bit.ly/2nokwzk **FREE $10 in Bitcoin on Coinbase** http://bit.ly/2ipXsdU **Receive FREE Bitcoin 100% Free** http://bit.ly/2jDB0hL **Cryptocurrency Podcast on iTunes** http://apple.co/2mNKdZT Contact Info: Website: https://cryptonewstv.com/ IG: https://www.instagram.com/cryptonewstv/ Donations: BTC: 171SaTtfo6byG3QYCkh8twyu7koDbHuM4J ETH: 0xA51829b418FEdBeadbdc90cc3474026e46EaDC1e NEO: AQ9iBvwu3hwzmdKR5D3ejg2suHQXrbMFcL
Views: 1150 Crypto News
WASHINGTON News - Securities and Exchange Commission, House of Representatives, United States, JPMor
 
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Fund pays $600M to settle insider trading charges WASHINGTON (AP) — A hedge fund company will pay more than $600 million in what federal regulators are calling the largest insider trading settlement. http://news.yahoo.com/fund-pays-600m-settle-insider-trading-charges-184351739--finance.html Bipartisan immigration reform bill takes shape in House WASHINGTON (Reuters) - A bipartisan group of members of the House of Representatives is close to completing work on a comprehensive immigration reform bill that will include a pathway to citizenship for 11 million undocumented people living in the United states, according to congressional aides. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/3nMzDkNHC14/us-usa-immigration-congress-idUSBRE92E0WI20130315 Foreign holdings of US debt rise to $5.62 trillion WASHINGTON (AP) — Foreign demand for U.S. Treasury securities rose to a record level in January, providing evidence that international investors remain confident in U.S. debt despite on-going budget battles in Washington. http://news.yahoo.com/foreign-holdings-us-debt-rise-5-62-trillion-175859287--finance.html Ex-JPMorgan exec says her oversight was undermined WASHINGTON (AP) — A former top executive for JPMorgan Chase is blaming last year's $6.2 billion trading loss on other executives at the firm, saying they failed to control risk out of the London office and hampered her abilities to prevent the losses. http://news.yahoo.com/ex-jpmorgan-exec-says-her-oversight-undermined-140741644--finance.html http://www.wochit.com
Views: 60 Wochit News
Hacker erbeuten Insider-Daten der US-Börsenaufsicht SEC - economy
 
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Unruhe an den US-Börsen: Unbekannte Hacker sind im vergangenen Jahr in Systeme der US-Börsenaufsicht SEC (United States Securities and Exchange Commission), Washington, eingedrungen und haben erbeutete vertrauliche Firmeninformationen möglicherweise für verbotene Insidergeschäfte benutzt. Die Schwachstelle, die das ermöglicht habe, sei schnell geschlossen worden, so die SEC in der Nacht zum Donnerstag. Unsafe at any speed: Hackers breached SEC system, may have used info for insider trading. #T… LESEN SIE MEHR: http://de.euronews.com/2017/09/21/hacker-erbeuten-insider-daten-der-us-borsenaufsicht-sec euronews: der meistgesehene Nachrichtensender in Europa. Abonnieren Sie! http://www.youtube.com/subscription_center?add_user=euronewsde euronews gibt es in 13 Sprachen: https://www.youtube.com/user/euronewsnetwork/channels Auf Deutsch: Internet : http://de.euronews.com Facebook: https://www.facebook.com/euronews Twitter: http://twitter.com/euronewsde Google+: https://plus.google.com/u/0/b/101036888397116664208/113171012041187764998/posts?pageId=101036888397116664208
Views: 144 euronews (deutsch)
The Only Thing Working At The SEC Is The Revolving Door
 
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"A lawyer from America's Securities and Exchange Commission (SEC) has launched a broadside against his bosses during a leaving speech, accusing them of being too soft on wayward Wall Street chiefs in the wake of the 2008 credit crisis. James Kidney, who retired from the SEC this month after 24 years with the organisation, said in his leaving speech that his bosses had been too 'tentative and fearful' when tackling the behaviour of banking giants. As around 70 SEC lawyers and alumni looked on, Mr Kidney bemoaned the SEC's focus on being polite."* Steve Oh, Jimmy Dore (The Jimmy Dore Show), Malcolm Fleschner (Executive Producer, The Point) and Jackie Koppell break it down. *Read more here from Ted Thornhill / Daily Mail: http://www.dailymail.co.uk/news/article-2600475/Too-tentative-fearful-SEC-attorney-blasts-OWN-bosses-accusing-failing-rein-Wall-Street-leaders-financial-crisis.html ********** The Largest Online News Show in the World. Hosted by Cenk Uygur and Ana Kasparian. LIVE STREAMING weekdays 6-8pm ET. Young Turk (n), 1. Young progressive or insurgent member of an institution, movement, or political party. 2. Young person who rebels against authority or societal expectations. (American Heritage Dictionary) The Young Turks (Winner - Best Political Podcast & Best Political News Site of 2009) were the first original talk show on Sirius satellite radio and the first live, daily webcast on the internet. But that is not the revolution. We are a rare show that combines all of the news that people care about in one place. We are not afraid to talk about politics and entertainment and sports and pop culture. But that is not the revolution either. The real revolution is in daring to be honest with people. We don't patronize our viewers or lie to them. We have real conversations and deliver the news honestly. Download audio and video of the full two hour show on-demand + the members-only post game show by becoming a member at http://www.tytnetwork.com/tytmembership. Your membership supports the day to day operations and is vital for our continued success and growth. Join The Young Turks Network mailing list https://www.tytnetwork.com/secure/sign-up-free/ or Support The Young Turks by Subscribing http://www.youtube.com/user/theyoungturks?sub_confirmation=1 Like Us on Facebook: http://www.facebook.com/TheYoungTurks Follow Us on Twitter: http://www.twitter.com/TheYoungTurks Support TYT for FREE by doing your Amazon shopping through this link (bookmark it!) http://www.amazon.com/?tag=theyoungturks-20 Get your TYT Merch: http://shoptyt.com or http://theyoungturks.spreadshirt.com/
Views: 41121 The Young Turks
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance - The Best Documentary
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] . Click here for more CFPB's Revisions to the Home Mortgage Disclosure Act (HMDA) . Regulatory review is one of four key recommendations made Wednesday by the National Venture Capital Association at its annual meeting in Boston. In Part 2 . This webinar will provide an overview of the agency's fair lending examination program and outline best practices that can help credit unions of all asset sizes .
Views: 30 Ramon Pollich
NYU Washington, DC Internship: U.S. Securities and Exchange Commission
 
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A spring 2013 NYU Washington, DC student discusses his internship at the U.S. Securities and Exchange Commission. Learn more about the internships at NYU DC here: http://bit.ly/18w2oTr
Views: 381 NYUGlobalPrograms
Securities And Exchange Commission
 
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An Easy Overview Of The Securities And Exchange Commission
Views: 2010 Christopher Hunt
Securities and Exchange Commission-- Failing Investors
 
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Why the SEC does not protect the interests of investors. An insider's view.
Views: 467 Mark D
News - Rick Scott, John Paul, Eastern Washington, Securities and Exchange Commission Commission
 
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Florida Medicaid expansion rejected by key legislative committee TALLAHASSEE, Florida (Reuters) - Florida Governor Rick Scott's plan to expand Medicaid coverage to cover about 1 million more poor people suffered a potential death blow on Monday when the proposal failed to make it out of a key state legislative committee. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/7fF7mq2sqa0/us-usa-florida-medicaid-idUSBRE92A0ZB20130311 Long to-do list awaits the next pope The moment Cardinal Albino Luciani learned his colleagues had elected him pope, he responded: "May God forgive you for what you've done." The remark, by the man who became Pope John Paul I, was seen as an expression of humility — but also a commentary on the mammoth task ahead. http://news.yahoo.com/heavy-workload-awaits-next-pope-church-turmoil-164626575.html Military plane crashes in eastern Washington state SEATTLE (Reuters) - A military plane assigned to the Naval Air Station on Whidbey Island crashed in Washington state on Monday morning, base spokesman Mike Welding said. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/r6tsQNkgN1w/us-usa-navy-crash-idUSBRE92A0UV20130311 S.E.C. Accuses Illinois of Securities Fraud In announcing a settlement, the agency said the state had misled investors about the health of its pension system. http://www.nytimes.com/2013/03/12/business/sec-accuses-illinois-of-securities-fraud.html?partner=rss&emc=rss http://www.wochit.com
Views: 27 Wochit News
The Arrogance of the Securities and Exchange Commission
 
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Financial Services Committee
 
"Assessing the Madoff Ponzi Scheme and Regulatory Failures" Chairman, Paul Kanjorski - statements after morning recess
Views: 11831 tp1murray
Trump to nominate Elad Roisman to Securities and Exchange Commission
 
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Trump to nominate Elad Roisman to Securities and Exchange Commission. WASHINGTON (Reuters) - U.S. President Donald Trump intends to nominate Elad Roisman to be a commissioner of the U.S. Securities and Exchange Commission, the White House said on Friday. Roisman current....
Views: 61 B & F News
Career Opportunities at the SEC
 
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The Securities and Exchange Commission (SEC) is looking for the best and brightest to help strengthen their team in order to better serve as the investor's advocate. For more information about our career opportunities, visit http://sec.gov/jobs/jobs_fulllist.shtml.
Views: 67 vze2656h
News - John Paul, Eastern Washington, Securities and Exchange Commission, Lorenzo Lamas Lamas
 
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Long to-do list awaits the next pope The moment Cardinal Albino Luciani learned his colleagues had elected him pope, he responded: "May God forgive you for what you've done." The remark, by the man who became Pope John Paul I, was seen as an expression of humility — but also a commentary on the mammoth task ahead. http://news.yahoo.com/heavy-workload-awaits-next-pope-church-turmoil-164626575.html Military plane crashes in eastern Washington state SEATTLE (Reuters) - A military plane assigned to the Naval Air Station on Whidbey Island crashed in Washington state on Monday morning, base spokesman Mike Welding said. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/r6tsQNkgN1w/us-usa-navy-crash-idUSBRE92A0UV20130311 S.E.C. Accuses Illinois of Securities Fraud In announcing a settlement, the agency said the state had misled investors about the health of its pension system. http://www.nytimes.com/2013/03/12/business/sec-accuses-illinois-of-securities-fraud.html?partner=rss&emc=rss Shauna Sand to Lorenzo Lamas -- I Put a Price on Your Life ... Now Pay Up Turns out familiarity isn't the only thing that breeds contempt ... so does not paying child support, because Shauna Sand wants Lorenzo Lamas cited for contempt of court for allegedly falling WAY behind, and also failing to maintain a... http://www.tmz.com/2013/03/11/shauna-sand-lorenzo-lamas-contempt-child-support-life-insurance/ http://www.wochit.com
Views: 61 Wochit News
Lucia v. Securities and Exchange Commission (SCOTUS-Toons)
 
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QUESTION: Are administrative law judges of the Securities and Exchange Commission Officers of the United States within the meaning of the Appointments Clause? IN THE SUPREME COURT OF THE UNITED STATES Raymond J. Lucia, et al., Petitioners v. Securities and Exchange Commission, Respondent. (No. 17-130) Washington, D.C. Monday, April 23, 2018 The above-entitled matter came on for oral argument before the Supreme Court of the United States at 10:03 a.m. APPEARANCES: MARK PERRY, ESQ., Washington, D.C.; on behalf of the Petitioners. JEFFREY B. WALL, Deputy Solicitor General, Department of Justice, Washington, D.C.; on behalf of the Respondent, in support of the Petitioners. ANTON METLITSKY, ESQ., New York, New York; on behalf of the Court-appointed amicus curiae in support of the judgment below. CONTENTS: (0:00) ORAL ARGUMENT OF: MARK PERRY, ESQ. On behalf of the Petitioners (12:01) ORAL ARGUMENT OF: JEFFRY B. WALL On behalf of the Respondent in support of the Petitioners (28:56) ORAL ARGUMENT OF: ANTON METLITSKY, ESQ. On behalf of the Court-appointed amicus curiae in support of the judgment below (55:30) REBUTTAL ARGUMENT OF: MARK PERRY, ESQ. On behalf of the Petitioners Transcript: https://www.supremecourt.gov/oral_arguments/argument_transcripts/2017/17-130_41p3.pdf Ruling: https://www.supremecourt.gov/opinions/17pdf/17-130_4f14.pdf More Info: https://www.oyez.org/cases/2017/17-130 ABOUT SCOTUS-TOONS: The SCOTUS does not allow cameras in the courtroom during oral arguments so if you want to see what happens during a Supreme Court case you have to make the video yourself. TWITTER: https://twitter.com/scotusToons REDDIT: https://reddit.com/r/scotusToons ---LINKS--- ITCH.IO: https://danielleemeeks.itch.io/ GAME JOLT: http://gamejolt.com/profile/danielleemeeks/915328 TWITCH.TV: https://www.twitch.tv/danielleemeeks TWITTER: https://twitter.com/DanielLeeMeeks INSTAGRAM: https://www.instagram.com/danielleemeeks/ TUMBLR: http://danielleemeeks.tumblr.com/ VINE: https://vine.co/u/1054292958427721728 YOUTUBE: http://youtube.com/DanielLeeMeeks --TAGS-- Anime Studio Pro 12, Moho Studio Pro 12, Unity 2017, SCOTUS, SUPREME COURT OF THE UNITED STATES, cartoon, animation, animated, John G. Roberts, Anthony M. Kennedy, Clarence Thomas, Ruth Bader Ginsburg, Stephen G. Breyer, Samuel Anthony Alito, Sonia Sotomayer, Neil M. Gorsush
Views: 431 Daniel Meeks
WASHINGTON News - Sarah Palin, Securities and Exchange Commission, House of Representatives, United
 
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Palin calls Obama a liar in speech to conservative activists WASHINGTON (Reuters) - Sarah Palin, the 2008 Republican vice presidential nominee, called President Barack Obama a liar and urged her party to stand by conservative values, rousing the crowd at a conservative conference on Saturday. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/pntzmHA6sZY/us-usa-republicans-cpac-palin-idUSBRE92F0FG20130316 Fund pays $600M to settle insider trading charges WASHINGTON (AP) — A hedge fund company will pay more than $600 million in what federal regulators are calling the largest insider trading settlement. http://news.yahoo.com/fund-pays-600m-settle-insider-trading-charges-184351739--finance.html Bipartisan immigration reform bill takes shape in House WASHINGTON (Reuters) - A bipartisan group of members of the House of Representatives is close to completing work on a comprehensive immigration reform bill that will include a pathway to citizenship for 11 million undocumented people living in the United states, according to congressional aides. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/3nMzDkNHC14/us-usa-immigration-congress-idUSBRE92E0WI20130315 Foreign holdings of US debt rise to $5.62 trillion WASHINGTON (AP) — Foreign demand for U.S. Treasury securities rose to a record level in January, providing evidence that international investors remain confident in U.S. debt despite on-going budget battles in Washington. http://news.yahoo.com/foreign-holdings-us-debt-rise-5-62-trillion-175859287--finance.html http://www.wochit.com
Views: 56 Wochit News
Harry Markopolos - The Securities and Exchange Commission Ignored His Warnings
 
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Harry Markopolos - The Securities and Exchange Commission ignored his warnings about financier Bernard Madoff for years. Markopolos says he warned SEC staffers in Boston, New York and Washington.
Views: 270 tp1murray
The SEC Internship Experience
 
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The Securities and Exchange Commission Internship Program is offered in Washington, D.C. and 11 other cities including Los Angeles, New York, Chicago, and Miami. Though these are volunteer opportunities, they offer students responsibilities and practical experiences that not only complement their classroom work but also promote their careers. Through the duration of their experience, students work with Commission staff on several division specific projects. Additionally, students may participate in seminars and workshops on various aspects of Federal securities laws. Take a moment to hear what our interns have to say about their experience with the Securities and Exchange Commission. For more information visit www.sec.gov/jobs/jobs_students.shtml
SEC is scrutinizing overnight blockchain companies chairman
 
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SEC is scrutinizing overnight blockchain companies chairman. WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission (SEC) is scrutinizing public companies that change their name or business model in a bid to capitalize upon the hype surrounding blockchain technology, SEC Chairman Jay Clayton said on Monday. Dozens of little-known companies across the globe have seen their share prices leap in recent months after unveiling plans to enter the bitcoin industry or that of its underlying distributed ledger blockchain technology. In December, the SEC temporarily suspended trading in the shares of Crypto Company (CRCW.PK), a small firm that saw its stock rise more than 2,700 percent after signing a deal to buy a cryptocurrency data platform. Clayton warned that it was not acceptable for companies without a meaningful track record in the sector to dabble in blockchain technology, change their name and immediately offer investors securities without providing adequate disclosures around the risks involved.
Views: 4 Tech Channel
WASHINGTON News - Barack Obama, Sarah Palin, Securities and Exchange Commission, House of Representa
 
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Still hope for big fiscal deal with Obama, top Republicans say WASHINGTON (Reuters) - Senior congressional Republicans said on Sunday they see a chance for a broad deal with President Barack Obama on deficit reduction and reining in spending on vast government programs like Medicare and one senator signaled potential flexibility on taxes. Obama, who met with lawmakers of both parties last week, has been calling for more tax increases on the wealthiest taxpayers, coupled with new spending cuts, to help curb budget deficits that have exceeded $1 trillion in each of the past four years. ... http://news.yahoo.com/still-hope-big-fiscal-deal-obama-top-republicans-144759269--business.html Palin calls Obama a liar in speech to conservative activists WASHINGTON (Reuters) - Sarah Palin, the 2008 Republican vice presidential nominee, called President Barack Obama a liar and urged her party to stand by conservative values, rousing the crowd at a conservative conference on Saturday. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/pntzmHA6sZY/us-usa-republicans-cpac-palin-idUSBRE92F0FG20130316 Fund pays $600M to settle insider trading charges WASHINGTON (AP) — A hedge fund company will pay more than $600 million in what federal regulators are calling the largest insider trading settlement. http://news.yahoo.com/fund-pays-600m-settle-insider-trading-charges-184351739--finance.html Bipartisan immigration reform bill takes shape in House WASHINGTON (Reuters) - A bipartisan group of members of the House of Representatives is close to completing work on a comprehensive immigration reform bill that will include a pathway to citizenship for 11 million undocumented people living in the United states, according to congressional aides. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/3nMzDkNHC14/us-usa-immigration-congress-idUSBRE92E0WI20130315 http://www.wochit.com
Views: 150 Wochit News
Securities and Exchange Commission ratifies administrative law judges
 
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Securities and Exchange Commission ratifies administrative law judges. WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission announced Thursday that it had ratified the prior appointment of its administrative law judges. The SEC said in a statement the ratification of five in-house judges would resolve concerns about administrative proceedings handled by those officials, after their status as SEC employees was challenged in court. The SEC also said it was directing those judges to review their prior actions to determine whether they must be ratified as well. Reporting by Pete SchroederEditing by Chizu Nomiyama
Views: 0 News Zone
Introduction by SEC Commissioner Luis Aguilar- Winter Summit- February 4, 2014
 
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The American Retirement Initiative held its Winter Summit on Tuesday, February 4, 2014 at the U.S. Securities and Exchange Commission headquarters building in Washington, D.C. The Summit was a day-long thought leadership forum that focused on how trusted advisors- human resources professionals, financial advisors, legal professionals can improve retirement outcomes for Americans. We explored the way that business, government, non-profit, and academic sectors can work together to improve retirement outcomes in the United States.
Personal Finance : What Is the Securities & Exchange Commission (SEC)?
 
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The Securities and Exchange Commission is a regulatory group for financial advisers. Learn about the Securities and Exchange Commission, or SEC, with information from a financial planner in this free video on personal finance and the stock market. Expert: Chris Markowski Contact: www.watchdogonwallstreet.com Bio: Christopher Markowski is the founder of the financial planning firm, Markowski Investments. Filmmaker: Christopher Rokosz
Views: 1701 eHow
Executive: SEC Ignored Warnings About Madoff
 
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Harry Markopolos says the Securities and Exchange Commission ignored his warnings about financier Bernard Madoff for years. Markopolos says he warned SEC staffers in Boston, New York and Washington. (Feb. 4)
Views: 11278 Associated Press
Tesla Whistleblower To Meet With SEC
 
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NEW YORK/WASHINGTON -- The Securities and Exchange Commission has reached out to a former Tesla Inc. employee who filed a whistleblower claim with the regulator and accused the carmaker of making misstatements and omissions to investors, according to an attorney representing the ex-worker. Martin Tripp, who Tesla CEO Elon Musk has portrayed as a saboteur, left the electric-car maker on June 19 and was sued by the company shortly thereafter. One of Tripp’s lawyers, Stuart Meissner, tweeted Wednesday that the regulator had followed up on the claim. “Received a call back this week from SEC enforcement,” Meissner wrote. http://feedproxy.google.com/~r/autonews/BreakingNews/~3/iCCou0Lc6Vs/tesla-whistleblower-sec-investigation http://www.wochit.com This video was produced by YT Wochit News using http://wochit.com
Views: 76 Wochit News
U S  Securities and Exchange Commission ratifies administrative law judges
 
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U.S. Securities and Exchange Commission ratifies administrative law judges. WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission said Thursday it had ratified the prior appointment of its administrative law judges. The SEC said in a statement the ratification of five in-house judges would resolve concerns about administrative proceedings handled by those officials, after their status as SEC employees was challenged in court. The SEC also said it was directing those judges to review their prior actions in all open administrative cases. The move comes one day after the Justice Department reversed its prior defense of the in-house judges, and marks a reversal of prior SEC policy.
Views: 2 News Zone
SEC Hearing in D.C.
 
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Americans lose over $17 billion a year due to bad retirement advice that is stacked with hidden fees and unfair risk. Tell the Security and Exchange Commission that America's retirees deserve #NoBadAdvice AARP ADVOCATES LEARN MORE: http://www.aarp.org/nobadadvice FACEBOOK: http://www.facebook.com/aarpadvocates TWITTER: http://www.twitter.com/aarpadvocates
Views: 9 AARP Advocates
Madoff tipster Markopolos calls SEC captive to Wall Street
 
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(4 Feb 2009) SHOTLIST POOL Washington,DC - 4 February 2009 1. Wide shot of hearing room 2. Close shot, official 3. SOUNDBITE: (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "My team and I tried our best to get the SEC to investigate and shut down the Madoff Ponzi scheme with repeated and credible warnings to the SEC that started in May 2000 when the Madoff Ponzi scheme was only a 3 to 7 billion dollar fraud. We knew then that we had provided enough red flags and mathematical proofs to the SEC for them where they should have been able to shut him down right then and there at at under 7 billion dollars. But, unfortunately the SEC staff lacks the financial expertise and is incapable of understanding the complex financial instruments being traded in the 21st century." FILE - AP Television New York, NY - 5 January 2009 4. Various shots of Madoff exiting court house POOL Washington,DC - 4 February 2009 5. SOUNDBITE: (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "Unfortunately, as they didn't respond to my written submissions in 2000, 2001, 2005, 2007 and 2008, here we are today. A fraud that should have been stopped at under 7 billion dollars in 2000 has now grown to 50 billion dollars." 6. Cutaway, hearing 7. SOUNDBITE: (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "The SEC continues to roar like a mouse and bite like a flea." 8. Various cutaways of hearing 9. SOUNDBITE: (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "I gift wrapped and delivered the largest ponzi scheme in history to them and somehow they couldn't be bothered to conduct a thorough and proper investigation because they were too busy on matters of higher priority. If a 50 billion dollar ponzi scheme doesn't make the SEC's priority list, then I want to know who sets their priorities." 10. Wide shot, hearing 11. SOUNDBITE: (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "The SEC was never capable of catching Mr Madoff. He could have easily gone to a 100 billion if we hadn't had the financial crisis last year and ran out of money to pay off existing investors." 12. Various, hearing STORYLINE: The man who waged a decade-long campaign to alert regulators to problems in the operations of fallen money manager Bernard Madoff, assailed the Securities and Exchange Commission (SEC) in his first appearance before lawmakers on Wednesday. The SEC failed to act despite receiving credible allegations of fraud from Harry Markopolos about Madoff's operations over a decade. Markopolos also told Congress that because of the agency's inaction, he became fearful for the safety of his family. He spoke as several top-level SEC officials, including the agency's enforcement director, sat three rows back in the packed hearing room, awaiting their turn to testify before the panel. That organisation was headed until December by Mary Schapiro, President Barack Obama's new SEC chief. The SEC has been sustaining volleys of criticism from lawmakers and investor advocates over its failure to discover Madoff's alleged 50 (b) billion US dollar fraud, which could be the biggest pyramid scheme ever, despite the credible allegations brought to it over years. Against the backdrop of the worst financial crisis since the 1930s, the SEC is being accused of further eroding investor confidence and lawmakers of both parties are calling for a shake-up of the agency. Madoff, a prominent Wall Street figure, was arrested in December 2008 after allegedly confessing to milking investors in what the authorities say was a giant pyramid scam, possibly the largest ever. You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/fa0e36d2dcb33b70a803f2550147bdae Find out more about AP Archive: http://www.aparchive.com/HowWeWork
Views: 400 AP Archive
U.S. Securities and Exchange Commission News - S&P, Mark Cuban
 
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S&P seeks to move 16 lawsuits over ratings to federal court (Reuters) - Standard & Poor's on Wednesday began trying to move lawsuits by 15 states and Washington, D.C. over its credit ratings to federal court from state court, hoping to limit its liability in one of the biggest fraud cases tied to the financial crisis. In multiple court filings, the McGraw-Hill Cos unit said the "wave" of civil lawsuits raises "significant" federal regulatory and constitutional issues that should be addressed all at once, to help ensure that national securities markets operate efficiently. ... http://news.yahoo.com/p-seeks-move-16-lawsuits-over-ratings-federal-193326771--finance.html Mark Cuban Loses Bid to Dump Insider Trading Case A federal judge has denied a request by Dallas Mavericks owner Mark Cuban to throw out a civil lawsuit accusing him of insider trading. http://us.rd.yahoo.com/finance/news/rss/story/SIG=14dahg4jv/*http%3A//us.rd.yahoo.com/finance/news/topfinstories/SIG=12argtgi4/*http%3A//finance.yahoo.com/news/mark-cuban-loses-bid-dump-170828044.html?l=1 http://www.wochit.com
Views: 266 Wochit News
SEC in the Community - Joe Connolly
 
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SEC examiner grew out of a stutter, now helps stuttering community through new documentary. www.sec.gov/careers
Ross Questions Mary Jo White, Chair, U.S. Securities and Exchange Commission
 
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On March 24, 2015, Congressman Ross questions Mary Jo White, Chair, U.S. Securities and Exchange Commission at a Financial Services Hearing entitled “Examining the SEC’s Agenda, Operations, and FY 2016 Budget Request”
Views: 233 Rep. Dennis Ross
Business News - U.S. Securities and Exchange Commission, Bank of Italy, Federal Aviation Administrat
 
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UBS in settlement talks with SEC over mortgage bond deal (Reuters) - UBS AG is in talks with the Securities and Exchange Commission to settle allegations the bank defrauded investors in a mortgage bond deal that soured during the financial crisis, the Wall Street Journal reported, citing people familiar with the matter. The SEC's investigation focuses on allegations UBS defrauded investors in the sale of more than $748 million in notes tied to a collateralized debt obligation the bank created in 2007, the paper reported. ... http://news.yahoo.com/ubs-settlement-talks-sec-over-mortgage-bond-deal-145104336--sector.html Bank of Italy warns political impasse dents economic recovery Italy's political stalemate and renewed financial market turbulence could undermine the country's recovery from its longest recession in two decades, a Bank of Italy official said on Saturday. Italian ... http://us.rd.yahoo.com/finance/news/rss/story/SIG=14m7s68nn/*http%3A//us.rd.yahoo.com/finance/news/topfinstories/SIG=12j3np6af/*http%3A//finance.yahoo.com/news/bank-italy-warns-political-impasse-124001953.html?l=1 FAA says will close 149 control towers to meet budget cuts WASHINGTON (Reuters) - The Federal Aviation Administration on Friday said it will close 149 air traffic control towers effective April 7 to meet required automatic spending cuts. http://feeds.reuters.com/~r/Reuters/domesticNews/~3/9Bu2i94Whys/story01.htm Julius Genachowski, FCC Chairman, To Step Down NEW YORK — The chairman of the Federal Communications Commission, Julius Genachowski, on Friday announced his resignation in the "coming weeks." The country's top telecommunications regulator told a staff meeting of his decision Friday morning. http://www.huffingtonpost.com/2013/03/22/julius-genachowski-fcc-stepping-down_n_2932543.html http://www.wochit.com
Views: 23 Wochit Business
SEC Chairman Mary Schapiro Addresses the Solutions Forum on Fraud on October 22, 2009, Part 1
 
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Speech by SEC Chairman: Address before the Solutions Forum on Fraud by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission Washington, D.C. October 22, 2009 Introduction Thank you very much, Gene, for that kind introduction. I am pleased to join you today at this Solutions Forum on Fraud. Todays forum is so important for consumers and investors alike. That is because it is often easy to identify problems that need to be resolved, but focusing on the solutions is the hard part. So, I would like to thank the AARP Public Policy Institute and the National Consumers League for hosting todays event.
Did Romney lie to the Security and Exchange Commission about his time at Bain Capital?
 
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Did Romney leave the private equity firm in 1999, as he said or did he leave in 2002, as the Boston Globe and Vanity Fair are reporting? We The People need him to do a "George Washington" and tell the truth.
Views: 319 Grover Weaver
U.S. Securities and Exchange Commission News - Mary Jo White, UBS AG, U.S. Treasury
 
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Senate confirms SEC chief Mary Jo White The Senate on Monday confirmed former New York federal prosecutor Mary Jo White as head of the Securities and Exchange Commission. http://rss.cnn.com/~r/rss/money_latest/~3/gBP2hguruo4/index.html UBS in settlement talks with SEC over mortgage bond deal UBS AG is in talks with the Securities and Exchange Commission to settle allegations the bank defrauded investors in a mortgage bond deal that soured during the financial crisis, the Wall Street Journal ... http://us.rd.yahoo.com/finance/news/rss/story/SIG=14h58m50p/*http%3A//us.rd.yahoo.com/finance/news/topfinstories/SIG=12e4r54tk/*http%3A//finance.yahoo.com/news/ubs-settlement-talks-sec-over-145104232.html?l=1 Former Treasury Sec. Tim Geithner Lists DC Home It looks like Tim Geithner will not be using his Bethesda, MD home to pen his new book. The former U.S. Treasury secretary and his wife have listed their Beltway dwelling for sale, now that one of the key players in the Obama administration's economic recovery team has left his post. http://www.forbes.com/sites/zillow/2013/03/21/former-treasury-sec-tim-geithner-lists-dc-home/ http://www.wochit.com
Views: 153 Wochit Business
Whistleblower tried for a decade to alert regulators over scheme
 
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(5 Feb 2009) SHOTLIST POOL Washington, DC - 4 February 2009 1. Wide of hearing room 2. Close up of committee chairman, Paul Kanjorski, Democrat-Pennsylvania 3. SOUNDBITE (English) Harry Markopolos, Securities and Exchange Commission whistle blower: "My team and I tried our best to get the SEC to investigate and shut down the Madoff Ponzi scheme with repeated and credible warnings to the SEC that started in May 2000 when the Madoff Ponzi scheme was only a three to seven (b) billion dollar fraud. We knew then that we had provided enough red flags and mathematical proofs to the SEC for them where they should have been able to shut him down right then and there at at under seven (b) billion dollars. But, unfortunately the SEC staff lacks the financial expertise and is incapable of understanding the complex financial instruments being traded in the 21st century." AP Television FILE: New York, New York - 5 January 2009 4. Various of Madoff exiting court house POOL Washington, DC - 4 February 2009 5. SOUNDBITE (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "The SEC continues to roar like a mouse and bite like a flea." 6. Wide of committee hearing room 7. Close of committee member asking question 8. SOUNDBITE (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "I gift wrapped and delivered the largest Ponzi scheme in history to them and somehow they couldn't be bothered to conduct a thorough and proper investigation because they were too busy on matters of higher priority. If a 50 (b) billion dollar Ponzi scheme doesn't make the SEC's priority list, then I want to know who sets their priorities." 9. Wide of hearing 10. SOUNDBITE (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "The SEC was never capable of catching Mr. Madoff. He could have easily gone to a 100 (b) billion if we hadn't had the financial crisis last year and ran out of money to pay off existing investors." 11. Wide shot hearing UPSOUND: (English) Harry Markopolos, Securities and Exchange Commission whistleblower: "Throughout these past nine years each of us feared for our lives." POOL Washington, DC - 4 February 2009 12. Securities and Exchange Commission members at witness table 13. SOUNDBITE (English) Gary Ackerman, Democrat-New York: "You've told us nothing. And I believe that's your intention. I figured you'd leave your blindfolds and your duct tape and your ear plugs behind. But you seem to be wearing them today. And instead of telling us anything, you read from the preamble of your mission statement and broke it up into five segments. What the heck went on?" 14. Cutaway of SEC staff members listening 15. SOUNDBITE (English) Gary Ackerman, Democrat-New York: "Your mission, you said, was to protect investors and detect fraud quickly. How'd that work out?" 16. Cutaway of SEC staff members listening 17. SOUNDBITE (English) Gary Ackerman, Democrat-New York: "One guy, with a few friends and helpers, discovered this thing nearly a decade ago, lead you to this pile of dung that is Bernie Madoff and stuck your nose in it, and you couldn't figure it out. You couldn't find your backside with two hands if the lights were on." 18. Wide of committee hearing room STORYLINE The man who first brought questions about investment practices of Bernie Madoff to the regulatory agency told a Congressional committee on Wednesday that he feared for his physical safety. Harry Markopolos also assailed the Securities and Exchange Commission in his first appearance before lawmakers. The SEC failed to act despite receiving credible allegations of fraud about Madoff's operations for over a decade from Markopolos. You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/650c1b0bfc6d4ba19a4d76717d2351f0 Find out more about AP Archive: http://www.aparchive.com/HowWeWork
Views: 213 AP Archive
CNNMoney Headlines - Nariman Behravesh, General Motors, U.S. Securities and Exchange Commission, Uni
 
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Japanese stocks flirt with bear market After shooting into the stratosphere, Japanese stocks have tumbled back to Earth. The high-flying Nikkei has lost 19% after hitting a trading high of 15,942.6 on May 23. http://rss.cnn.com/~r/rss/money_latest/~3/Taf257J2cH4/index.html Taxpayers to make $1 billion from GM stock sale Taxpayers will take in $1.03 billion in proceeds from the planned Treasury Department sale of General Motors stock. http://rss.cnn.com/~r/rss/money_latest/~3/1LSjCg17NTo/index.html SEC accuses Thai investor of insider trading ahead of Smithfield acquisition The SEC alleged that an investor in Thailand earned more than $3 million from insider trading ahead of last week's announcement by China's Shuanghui International that it was acquiring Smithfield Foods, the world's largest pork processor. Shuanghui is buying Virginia-based Smithfield for nearly $5 billion, the largest-ever announced acquisition of a U.S. company by a Chinese buyer. http://rss.cnn.com/~r/rss/money_latest/~3/ZpmIeH46mk8/index.html Stocks steady as focus turns to jobs U.S. stocks edged higher at the opening bell as investors weighed the latest data on the job market amid ongoing uncertainty about Federal Reserve policy. http://rss.cnn.com/~r/rss/money_latest/~3/sdWhDhLpIFo/index.html U.S. taps Donald Trump to convert DC's Old Post Office into luxury hotel The General Services Administration announced an agreement with the Trump Organization to redevelop Washington's historic Old Post Office building into a luxury hotel featuring restaurants, conference facilities and an "expansive" spa, "while preserving and enhancing all of its historic features." http://rss.cnn.com/~r/rss/money_latest/~3/8Y8FxC6pbXI/index.html http://www.wochit.com
Views: 168 Wochit Business
Monsanto currently facing an on going Securities and Exchange Commission Investigation
 
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Links in the description box Monsanto being investigated by The SEC http://www.sec.gov/Archives/edgar/data/1110783/000111078311000115/form8k.htm http://www.sec.gov/Archives/edgar/data/1110783/000089882211000854/mon12b251.htm http://www.sec.gov/Archives/edgar/data/1110783/000119312511309780/d244954d10ka.htm
Views: 67 Idaho Calling
SEC Commissioner Luis Aguilar Discusses the African American Retirement Crisis
 
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The American Retirement Initiative held its Winter 2014 Summit at the U.S. Securities and Exchange Commission headquarters in Washington, DC on February 4, 2014. Many of the participants said that it was the most informative day that they ever spent.
Keynote: The View From Washington
 
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Securities and Exchange Commission Chair Mary Jo White, introduced by Andrew Ross Sorkin, discusses the government’s role in protecting investors, fighting fraud and safeguarding the stability of our markets. From the 2014 New York Times DealBook Conference
Don't Cry For The Watchtower Society - Rand Cam
 
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Securities and Exchange Commission: http://www.sec.gov/Archives/edgar/data/922330/000106299302000371/form10k.txt Name: The Watchtower Society Class A Shares Owned: 5,073,200 Percentage of Class A Shares Owned: 44.94% Rand Cam Corporation - Developers of cold turbine engine project, funded by the U.S. Military (Navy). This was the original video link: http://www.youtube.com/watch?v=atWfWjIPBaY It says, 'this video removed by user." I never removed it. I discovered it had been removed when I tried to forward it to someone on April 11, 2010.
Views: 13168 propagandatechniques
SEC Chairman Mary Schapiro Addresses the Solutions Forum on Fraud on October 22, 2009, Part 2
 
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Speech by SEC Chairman: Address before the Solutions Forum on Fraud by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission Washington, D.C. October 22, 2009 Introduction Thank you very much, Gene, for that kind introduction. I am pleased to join you today at this Solutions Forum on Fraud. Todays forum is so important for consumers and investors alike. That is because it is often easy to identify problems that need to be resolved, but focusing on the solutions is the hard part. So, I would like to thank the AARP Public Policy Institute and the National Consumers League for hosting todays event.
Sec changes hiring process for in-house judges to address legal concerns
 
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Sec changes hiring process for in-house judges to address legal concerns By WASHINGTON—The Securities and Exchange Commission said Thursday that it was changing the way it hires in-house judges who hear some of the enforcement cases the agency brings, after the Justice Dep...
Views: 2 Annot Meilleur
Schapiro Says SEC Lacked `Mindset' to Regulate Lehman: Video
 
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April 20 (Bloomberg) -- U.S. Securities and Exchange Commission Chairman Mary Schapiro testifies before the House Financial Services Commitee in Washington about Lehman Brothers Holdings Inc.'s bankruptcy. Representative Jackie Speier, a California Democrat, also speaks. (This is an excerpt of Schapiro's testimony. Source: Bloomberg)
Views: 152 Bloomberg
Queensland Police Fraud: Re: Driver License Fraud
 
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The: QUEENSLAND POLICE SERVICE, enforcing the corporate policies of the foreign: STATE OF QUEENSLAND AUSTRALIA, corporation, registered as a subdivision of the UNITED STATES, SECURITIES AND EXCHANGE COMMISSION, WASHINGTON D.C. District of Columbia. Article 20 (b) of the Universal Declaration of Human Rights, claims that no person can be forced to join a society. A corporation is a society. When the QUEENSLAND POLICE SERVICE encounter a person that refuses to surrender his sovereignty in order to become a Citizen of a foreign corporation, then steals that persons property, and liberty, and citizenship, such persons are committing true International crime. The QUEENSLAND DRIVER LICENSE and: State BIRTH Certificate, are fraud instruments that destroys a person's true identification, a person's link to his sovereignty, a person's link to such a persons, sovereign trust, his standing as the beneficiary of the sovereign trust and enters such a person into a foreign corporate entity, under the Law of the Sea, as a trustee, without compensation pursuant to Trust Law. The trustee must be compensated. (TRUST LAW) The QUEENSLAND POLICE SERVICE uphold such a fraud, leaving every person representing such a service, in danger of serious crimes in relation to the Criminal Code Acts, the Crimes Act, and International Law. The Ministers of the Parliament of the Governing Private Corporation, STATE OF QUEENSLAND AUSTRALIA, have all been made aware of the DRIVER LICENSE FRAUD and have not rebutted any claim relating to the fraud, "Judgement by Default" however, it appears that the persons that represent the QUEENSLAND POLICE SERVICE are still unaware, that all the ministers and Attorney General, have been informed. The Ministers have a Duty of Care to the members of its private corporation and must inform it's Police Officers, that they only have jurisdiction over the Citizens of the Corporation only, and has no jurisdiction over any person that assumes the STATE OF QUEENSLAND AUSTRALIA to be an unlawful fraud or fiction. The Police Officer in this clip has no idea of what happened and can't even correctly read the name appearing on the Driver License Instrument.
Views: 15062 Rom Stover
Assessing the Madoff Ponzi Scheme and Regulatory Failures (Part 2 of 3)
 
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Assessing the Madoff Ponzi Scheme and Regulatory Failures (Part 2 of 3) - mars-3:hrs03F_S2128_090204.2 - Rayburn 2128 - Committee on Financial Services - 2009-02-04 - Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises. Washington, DC - Congressman Paul E. Kanjorski (D-PA), the Chairman of the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, today announced that the House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises will convene a hearing on Wednesday, February 4, 2009, to assess the alleged 0 billion investment fraud engineered by Mr. Bernard L. Madoff. Witness List: Panel One: Mr. Harry Markopolos, an independent financial fraud investigator for institutional investors and others seeking forensic accounting expertise, as well as a Chartered Financial Analyst and Certified Fraud Examiner. Panel Two: Ms. Linda Thomsen, Director, Division of Enforcement, U.S. Securities and Exchange Commission; Mr. Andrew J. Donohue, Director, Division of Investor Management, U.S. Securities and Exchange Commission; Mr. Erik Sirri, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission; Mr. Andy Vollmer, Acting General Counsel, U.S. Securities and Exchange Commission; Ms. Lori A. Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission; Mr. Stephen Luparello, Interim Chief Executive Officer, Financial Industry Regulatory Authority. Video provided by U.S. House of Representatives.
Views: 18846 HouseResourceOrg
Arthur Anderson accountants testify at Enron hearings
 
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APTN Washington, DC 1. Congressmen at the Enron hearing 2. Cutaway of reporters POOL Washington, DC 3. SOUNDBITE:(English), Robert Herdman, Chief Accountant Of The Securities and Exchange Commission "The markets are clearly the best in the world and our accounting and financial reporting are widely acclaimed as the best in the world as well." APTN Washington, DC 4. Congressmen during the hearing POOL Washington, DC 5. SOUNDBITE (English) Robert Herdman, Chief Accountant Of the Securities and Exchange Commission: "I really cannot say at this point what has led to Enron's demise with any certainty. That is something we hope to learn as part of our investigation is... as that progresses. As we learn things we will be looking to see whether there are indications of other problems out there." APTN Washington, DC 6. Cutaway of reporters and observers POOL Washington, DC - December 12, 2001 7. SOUNDBITE (English) Robert Herdman, Chief Accountant of The Securities and Exchange Commission: "I do not think any of us can say that at this point Congressman. I think the Enron situation raises questions about our entire system of financial reporting and confidence in that system." APTN Washington, DC - December 12, 2001 8. Cutaway of photographer POOL Washington, DC - December 12, 2001 9. SOUNDBITE (English), Joseph Berardino, Chief Executive Officer of Arthur Andersen LLP: "I am here because faith in our firm and the integrity of the capital market system has been shaken." APTN Washington, DC - December 12, 2001 10. Cutaway of Congresswoman and Congressman at the Enron hearing POOL Washington, DC - December 12, 2001 11. SOUNDBITE (English) Joseph Berardino, Chief Executive Officer of Arthur Andersen LLP: "Andersen will have to change to restore the publics interest and confidence. We are working hard to identify the changes we need to make. The accounting profession will also have to reform itself. Our system of regulations and discipline will have to be improved. And others will have to do things differently as well." APTN Houston - File 12. Exterior of Enron building STORYLINE: The head of Enron Corporation's longtime auditing firm told Congress on Wednesday the tragedy of the company's collapse shows that the accounting firm and the entire profession will have to change. Robert Herdman, chief accountant of the Securities and Exchange Commission, which is investigating Enron, said a recent spate of accounting irregularities by big corporations "may shake investors' confidence in our system of financial reporting and our capital markets," according to his prepared testimony. At the House hearing, lawmakers called the Enron debacle the biggest corporate failure in recent history. Enron, which only months ago was the nation's seventh-biggest in revenue, has acknowledged that it overstated profits for four years. Subjects being examined at the hearing included the Houston-based company's accounting practices, potential securities law violations and Enron's handling of its employees' retirement investment plans. Worth more than 80 Dollars (US) a year ago, Enron's stock has tumbled to less than a dollar a share. You can license this story through AP Archive: http://www.aparchive.com/metadata/youtube/d1b2eae774eed609bfecf21499b931c1 Find out more about AP Archive: http://www.aparchive.com/HowWeWork
Views: 4437 AP Archive
Chairman Cox discusses interactive data about Mutual fund
 
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Washington, D.C., May 21, 2008 — The Securities and Exchange Commission today voted unanimously to formally propose that mutual fund investors get access to key information about fees, performance, and strategies through interactive data, which would permit comparison shopping among thousands of funds with all the ease of conducting an Internet search.
Views: 412 51xbrl

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