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166 relations: Abe Fortas, Accounting standard, Administrative law judge, Administrative proceeding, Allen Stanford, Alternative trading system, Annual report, Anti-competitive practices, Auction rate security, Bank, Bernard Madoff, Blue sky law, Bond credit rating, Broker-dealer, CA Technologies, Capital market, Carl Hoecker, Center for Effective Government, Central Intelligence Agency, Certificate of deposit, Chicago Stock Exchange, Chief executive officer, Christopher Cox, Chuck Grassley, Commodity Futures Modernization Act of 2000, Commodity Futures Trading Commission, Conflict of interest, Credit default swap, Credit rating agency, Credit Rating Agency Reform Act, David C. Williams (Inspector General), David P. Weber, Deutsche Bank, Dodd–Frank Wall Street Reform and Consumer Protection Act, EDGAR, Eric Swanson, Fair and Accurate Credit Transactions Act, Federal Deposit Insurance Corporation, Federal government of the United States, Federal Register, Federal Reserve System, Federal Trade Commission, Feeder fund, Ferdinand Pecora, Financial Accounting Standards Board, Financial adviser, Financial crisis of 2007–2008, Financial Industry Regulatory Authority, Financial regulation, Financial Stability Forum, ..., Financial statement, Form 10-K, Form 4, Form 8-K, Form S-1, Franklin D. Roosevelt, Fraud, Freedom of Information Act (United States), Frontline (U.S. TV series), Garn–St. Germain Depository Institutions Act, Gary J. Aguirre, Goldman Sachs, Gramm–Leach–Bliley Act, Great Recession, H. David Kotz, Harry Markopolos, Hedge fund, Hester Peirce, HuffPost, Independent agencies of the United States government, Initial public offering, Inspector general, International Accounting Standards Board, International Financial Reporting Standards, International Organization of Securities Commissions, Investment, Investment Advisers Act of 1940, Investment banking, Investment Company Act of 1940, J. Robert Brown Jr., Jacob A. Frenkel, James M. Landis, Jay Clayton (attorney), Jerome Frank, John J. Mack, John McCain presidential campaign, 2008, John Wiley & Sons, Joseph P. Kennedy Sr., Kara Stein, Lawsuit, Legal realism, Lehman Brothers, List of financial regulatory authorities by country, Louis Brandeis, Mark Warner, Mary Jo White, Matt Taibbi, Matter Under Inquiry, Michael Piwowar, Money market fund, Municipal bond, Municipal Securities Rulemaking Board, Mutual fund, Naked short selling, NASDAQ, National Archives and Records Administration, National Securities Markets Improvement Act of 1996, Nationally recognized statistical rating organization, New Deal, New York Stock Exchange, No-action letter, Nonpartisanism, NPR, Office of Inspector General (United States), Online and offline, Pecora Commission, Pequot Capital Management, Ponzi scheme, Primary market, Project On Government Oversight, Public company, Public Company Accounting Oversight Board, Registered Investment Adviser, Regulation D (SEC), Revenue recognition, Robert J. Jackson Jr., Robert Khuzami, Rolling Stone, Ronald Reagan, S.A.C. Capital Advisors, Sarbanes–Oxley Act, SEC filing, SEC Office of the Whistleblower, Secondary market, Securities Act of 1933, Securities commission, Securities Exchange Act of 1934, Securities Investor Protection Corporation, Securities market participants (United States), Securities regulation in the United States, Security (finance), Self-regulatory organization, Series 7 exam, Shana Madoff, Short (finance), Stock exchange, Stockbroker, Sturm College of Law, Temporary National Economic Committee, Title 17 of the Code of Federal Regulations, Trust Indenture Act of 1939, Underwriting, United States Department of Commerce, United States district court, United States Postal Service, United States Secretary of the Treasury, University of Denver, Volcker Rule, Wall Street, Washington, D.C., Whistleblower, William J. Casey, William O. Douglas, Williams Act, Working Group on Financial Markets, Wrongful dismissal. Expand index (116 more) »
Abe Fortas
Abraham "Abe" Fortas (June 19, 1910 – April 5, 1982) was a U.S. Supreme Court Associate Justice from 1965 to 1969.
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Accounting standard
Financial statements prepared and presented by a company typically follow an external standard that specifically guides their preparation.
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Administrative law judge
An administrative law judge (ALJ) in the United States is a judge and trier of fact who both presides over trials and adjudicates the claims or disputes (in other words, ALJ-controlled proceedings are bench trials) involving administrative law.
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Administrative proceeding
An administrative proceeding is a non-judicial determination of fault or wrongdoing and may include, in some cases, penalties of various forms.
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Allen Stanford
Robert Allen Stanford (born March 24, 1950) is an American former financier and sponsor of professional sports who is serving a 110-year federal prison sentence, having been convicted of charges that his investment company was a massive Ponzi scheme and fraud.
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Alternative trading system
Alternative trading system (ATS) is a US and Canadian regulatory term for a non-exchange trading venue that matches buyers and sellers to find counterparties for transactions.
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Annual report
An annual report is a comprehensive report on a company's activities throughout the preceding year.
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Anti-competitive practices
Anti-competitive practices are business, government or religious practices that prevent or reduce competition in a market (see restraint of trade).
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Auction rate security
An auction rate security (ARS) typically refers to a debt instrument (corporate or municipal bonds) with a long-term nominal maturity for which the interest rate is regularly reset through a dutch auction.
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Bank
A bank is a financial institution that accepts deposits from the public and creates credit.
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Bernard Madoff
Bernard "Bernie" Lawrence Madoff (born April 29, 1938) is an American former stockbroker, investment advisor, financier, and admitted fraudster.
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Blue sky law
A blue sky law is a state law in the United States that regulates the offering and sale of securities to protect the public from fraud.
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Bond credit rating
In investment, the bond credit rating represents the credit worthiness of corporate or government bonds.
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Broker-dealer
In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers.
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CA Technologies
CA Technologies, formerly known as Computer Associates International, Inc. and CA, Inc., is an American multinational publicly held corporation headquartered in New York City.
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Capital market
A capital market is a financial market in which long-term debt (over a year) or equity-backed securities are bought and sold.
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Carl Hoecker
Carl W. Hoecker is the Inspector General of the U.S. Securities and Exchange Commission (SEC).
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Center for Effective Government
The Center for Effective Government, formerly OMB Watch, was a liberal think tank and advocacy group based in Washington, D.C. It was focused on government transparency.
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Central Intelligence Agency
The Central Intelligence Agency (CIA) is a civilian foreign intelligence service of the United States federal government, tasked with gathering, processing, and analyzing national security information from around the world, primarily through the use of human intelligence (HUMINT).
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Certificate of deposit
A certificate of deposit (CD) is a time deposit, a financial product commonly sold in the United States and elsewhere by banks, thrift institutions, and credit unions.
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Chicago Stock Exchange
The Chicago Stock Exchange (CHX) is a stock exchange in Chicago, Illinois.
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Chief executive officer
Chief executive officer (CEO) is the position of the most senior corporate officer, executive, administrator, or other leader in charge of managing an organization especially an independent legal entity such as a company or nonprofit institution.
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Christopher Cox
Charles Christopher Cox (born October 16, 1952) is an American lawyer and former Chairman of the U.S. Securities and Exchange Commission, a 17-year Republican member of the United States House of Representatives, and member of the White House staff in the Reagan Administration.
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Chuck Grassley
Charles Ernest Grassley (born September 17, 1933) is an American politician serving as the senior United States Senator from Iowa, a seat he was first elected to in 1980.
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Commodity Futures Modernization Act of 2000
The Commodity Futures Modernization Act of 2000 (CFMA) is United States federal legislation that officially ensured modernized regulation of financial products known as over-the-counter derivatives.
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Commodity Futures Trading Commission
The U.S. Commodity Futures Trading Commission (CFTC) is an independent agency of the US government created in 1974, that regulates futures and option markets.
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Conflict of interest
A conflict of interest (COI) is a situation in which a person or organization is involved in multiple interests, financial or otherwise, and serving one interest could involve working against another.
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Credit default swap
A credit default swap (CDS) is a financial swap agreement that the seller of the CDS will compensate the buyer in the event of a debt default (by the debtor) or other credit event.
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Credit rating agency
A credit rating agency (CRA, also called a ratings service) is a company that assigns credit ratings, which rate a debtor's ability to pay back debt by making timely interest payments and the likelihood of default.
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Credit Rating Agency Reform Act
The Credit Rating Agency Reform Act is a United States federal law whose goal is to improve ratings quality for the protection of investors and in the public interest by fostering accountability, transparency, and competition in the credit rating agency industry.
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David C. Williams (Inspector General)
David C. Williams is the Inspector General (IG) for the U.S. Postal Service, in the United States Postal Service Office of Inspector General.
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David P. Weber
David Paul Weber is a former Assistant Inspector General for Investigations at the U.S. Securities and Exchange Commission (SEC), where as a whistleblower he reported allegations about foreign espionage against the stock exchanges, and concerning misconduct in the Bernard L. Madoff and R. Allen Stanford Ponzi scheme investigations.
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Deutsche Bank
Deutsche Bank AG is a German investment bank and financial services company headquartered in Frankfurt, Hesse, Germany.
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Dodd–Frank Wall Street Reform and Consumer Protection Act
The Dodd–Frank Wall Street Reform and Consumer Protection Act (commonly referred to as Dodd–Frank) was signed into United States federal law by US President Barack Obama on July 21, 2010.
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EDGAR
EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (the "SEC").
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Eric Swanson
Eric J. Swanson is an American lawyer and the Senior Vice President, General Counsel, and Secretary of BATS Global Markets, the third-largest stock exchange in the United States.
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Fair and Accurate Credit Transactions Act
The Fair and Accurate Credit Transactions Act of 2003 (abbreviated FACT Act or FACTA) is a United States federal law, passed by the United States Congress on November 22, 2003, and signed by President George W. Bush on December 4, 2003, as an amendment to the Fair Credit Reporting Act.
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Federal Deposit Insurance Corporation
The Federal Deposit Insurance Corporation (FDIC) is a United States government corporation providing deposit insurance to depositors in U.S. commercial banks and savings institutions.
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Federal government of the United States
The federal government of the United States (U.S. federal government) is the national government of the United States, a constitutional republic in North America, composed of 50 states, one district, Washington, D.C. (the nation's capital), and several territories.
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Federal Register
The Federal Register (FR or sometimes Fed. Reg.) is the official journal of the federal government of the United States that contains government agency rules, proposed rules, and public notices.
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Federal Reserve System
The Federal Reserve System (also known as the Federal Reserve or simply the Fed) is the central banking system of the United States of America.
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Federal Trade Commission
The Federal Trade Commission (FTC) is an independent agency of the United States government, established in 1914 by the Federal Trade Commission Act.
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Feeder fund
A feeder fund is an investment fund which does almost all of its investments through a master fund via a master-feeder relationship.
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Ferdinand Pecora
Ferdinand Pecora (January 6, 1882 – December 7, 1971) was an American lawyer and judge who became famous in the 1930s as Chief Counsel to the United States Senate Committee on Banking and Currency during its investigation of Wall Street banking and stock brokerage practices.
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Financial Accounting Standards Board
The Financial Accounting Standards Board (FASB) is a private, non-profit organization standard setting body whose primary purpose is to establish and improve generally accepted accounting principles (GAAP) within the United States in the public's interest.
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Financial adviser
A financial adviser is a professional who suggests and renders financial services to clients based on their financial situation.
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Financial crisis of 2007–2008
The financial crisis of 2007–2008, also known as the global financial crisis and the 2008 financial crisis, is considered by many economists to have been the worst financial crisis since the Great Depression of the 1930s.
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Financial Industry Regulatory Authority
In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO).
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Financial regulation
Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system.
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Financial Stability Forum
The Financial Stability Forum (FSF) was a group consisting of major national financial authorities such as finance ministries, central bankers, and international financial bodies.
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Financial statement
Financial statements (or financial report) is a formal record of the financial activities and position of a business, person, or other entity.
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Form 10-K
A Form 10-K is an annual report required by the U.S. Securities and Exchange Commission (SEC), that gives a comprehensive summary of a company's financial performance.
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Form 4
Form 4 is a United States SEC filing that relates to insider trading.
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Form 8-K
Form 8-K is a very broad form used to notify investors in United States public companies of specified events that may be important to shareholders or the United States Securities and Exchange Commission.
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Form S-1
Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933".
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Franklin D. Roosevelt
Franklin Delano Roosevelt Sr. (January 30, 1882 – April 12, 1945), often referred to by his initials FDR, was an American statesman and political leader who served as the 32nd President of the United States from 1933 until his death in 1945.
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Fraud
In law, fraud is deliberate deception to secure unfair or unlawful gain, or to deprive a victim of a legal right.
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Freedom of Information Act (United States)
The Freedom of Information Act (FOIA),, is a federal freedom of information law that allows for the full or partial disclosure of previously unreleased information and documents controlled by the United States government.
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Frontline (U.S. TV series)
Frontline (styled by the program as FRONTLINE) is the flagship investigative journalism series of the Public Broadcasting Service (PBS), producing in-depth documentaries on a variety of domestic and international stories and issues, and broadcasting them on air and online.
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Garn–St. Germain Depository Institutions Act
The Garn–St Germain Depository Institutions Act of 1982 (enacted October 15, 1982) is an Act of Congress that deregulated savings and loan associations and allowed banks to provide adjustable-rate mortgage loans.
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Gary J. Aguirre
Gary J. Aguirre is an American lawyer, former investigator with the United States Securities and Exchange Commission (SEC) and whistleblower.
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Goldman Sachs
The Goldman Sachs Group, Inc. is an American multinational investment bank and financial services company headquartered in New York City.
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Gramm–Leach–Bliley Act
The Gramm–Leach–Bliley Act (GLBA), also known as the Financial Services Modernization Act of 1999, is an act of the 106th United States Congress (1999–2001).
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Great Recession
The Great Recession was a period of general economic decline observed in world markets during the late 2000s and early 2010s.
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H. David Kotz
H.
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Harry Markopolos
Harry M. Markopolos (born October 22, 1956) is an American former securities industry executive and an independent forensic accounting and financial fraud investigator.
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Hedge fund
A hedge fund is an investment fund that pools capital from accredited individuals or institutional investors and invests in a variety of assets, often with complex portfolio-construction and risk-management techniques.
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Hester Peirce
Hester Maria Peirce is an American lawyer specializing in financial market regulation.
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HuffPost
HuffPost (formerly The Huffington Post and sometimes abbreviated HuffPo) is a liberal American news and opinion website and blog that has both localized and international editions.
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Independent agencies of the United States government
Independent agencies of the United States federal government are those agencies that exist outside the federal executive departments (those headed by a Cabinet secretary) and the Executive Office of the President.
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Initial public offering
Initial public offering (IPO) or stock market launch is a type of public offering in which shares of a company are sold to institutional investors and usually also retail (individual) investors; an IPO is underwritten by one or more investment banks, who also arrange for the shares to be listed on one or more stock exchanges.
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Inspector general
An inspector general is an investigative official in a civil or military organization.
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International Accounting Standards Board
The International Accounting Standards Board (IASB) is the independent, accounting standard-setting body of the IFRS Foundation.
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International Financial Reporting Standards
International Financial Reporting Standards, usually called IFRS, are standards issued by the IFRS Foundation and the International Accounting Standards Board (IASB) to provide a common global language for business affairs so that company accounts are understandable and comparable across international boundaries.
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International Organization of Securities Commissions
The International Organisation of Securities Commissions (IOSCO) is an association of organisations that regulate the world’s securities and futures markets.
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Investment
In general, to invest is to allocate money (or sometimes another resource, such as time) in the expectation of some benefit in the future – for example, investment in durable goods, in real estate by the service industry, in factories for manufacturing, in product development, and in research and development.
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Investment Advisers Act of 1940
The Investment Advisers Act of 1940, codified at through, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.
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Investment banking
An investment bank is typically a private company that provides various finance-related and other services to individuals, corporations, and governments such as raising financial capital by underwriting or acting as the client's agent in the issuance of securities.
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Investment Company Act of 1940
The Investment Company Act of 1940 is an act of Congress.
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J. Robert Brown Jr.
Jay Brown is a law professor with specializations in corporations and corporate governance, business law, administrative law and securities regulation.
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Jacob A. Frenkel
Jacob Aharon Frenkel (יעקב אהרן פרנקל; born 8 February 1943) is an Israeli economist and the Chairman of JPMorgan Chase International.
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James M. Landis
James McCauley Landis (September 25, 1899 – July 30, 1964) was an American academic, government official and legal adviser.
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Jay Clayton (attorney)
Walter Joseph "Jay" Clayton III (born July 11, 1966) is an American attorney and Chairman of the U.S. Securities and Exchange Commission.
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Jerome Frank
Jerome New Frank (September 10, 1889 – January 13, 1957) was an American legal philosopher and author who played a leading role in the legal realism movement, a chairman of the Securities and Exchange Commission, and a federal appellate judge of the United States Court of Appeals for the Second Circuit.
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John J. Mack
John J. Mack (born November 17, 1944) is a Senior Advisor and the former CEO & Chairman of the Board at Morgan Stanley, the New York-based investment bank and brokerage firm.
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John McCain presidential campaign, 2008
The 2008 presidential campaign of John McCain, the longtime senior U.S. Senator from Arizona, was launched with an informal announcement on February 28, 2007 during a live taping of the Late Show with David Letterman, and formally launched at an event on April 25, 2007.
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John Wiley & Sons
John Wiley & Sons, Inc., also referred to as Wiley, is a global publishing company that specializes in academic publishing.
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Joseph P. Kennedy Sr.
Joseph Patrick Kennedy Sr. (September 6, 1888 – November 18, 1969) was an American businessman, investor, and politician known for his high-profile positions in United States politics.
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Kara Stein
Kara Marlene Stein is American attorney who is currently serving on the U.S. Securities and Exchange Commission (SEC), a position she has held since August 2013.
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Lawsuit
A lawsuit (or suit in law) is "a vernacular term for a suit, action, or cause instituted or depending between two private persons in the courts of law." A lawsuit is any proceeding by a party or parties against another in a court of law.
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Legal realism
Legal realism is a naturalistic approach to law, and is the view that jurisprudence should emulate the methods of natural science, i.e., rely on empirical evidence.
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Lehman Brothers
Lehman Brothers Holdings Inc. (former NYSE ticker symbol LEH) was a global financial services firm.
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List of financial regulatory authorities by country
The following is an incomplete list of financial regulatory authorities by country.
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Louis Brandeis
Louis Dembitz Brandeis (November 13, 1856 – October 5, 1941) was an American lawyer and associate justice on the Supreme Court of the United States from 1916 to 1939.
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Mark Warner
Mark Robert Warner (born December 15, 1954) is an American businessman and politician serving as the senior United States Senator from Virginia, a seat he was first elected to in 2008.
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Mary Jo White
Mary Jo White (born December 27, 1947) is an American attorney who served as the 31st Chair of the Securities and Exchange Commission from 2013 to 2017.
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Matt Taibbi
Matthew C. "Matt" Taibbi (born March 2, 1970) is an American author and journalist.
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Matter Under Inquiry
A Matter Under Inquiry (MUI, pronounced "muey", sometimes called Matter Under Investigation) is a term used by the United States Securities and Exchange Commission to describe preliminary investigations it makes into alleged financial fraud in the companies that it is responsible for regulating.
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Michael Piwowar
Michael Piwowar is an American-government official who has served as a Commissioner on the Securities and Exchange Commission since 2013.
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Money market fund
A money market fund (also called a money market mutual fund) is an open-ended mutual fund that invests in short-term debt securities such as US Treasury bills and commercial paper.
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Municipal bond
A municipal bond, commonly known as a Muni Bond, is a bond issued by a local government or territory, or one of their agencies.
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Municipal Securities Rulemaking Board
The Municipal Securities Rulemaking Board (MSRB) writes investor protection rules and other rules regulating broker-dealers and banks in the United States municipal securities market, including tax-exempt and taxable municipal bonds, municipal notes, and other securities issued by states, cities, and counties or their agencies to help finance public projects or for other public policy purposes.
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Mutual fund
A mutual fund is a professionally managed investment fund that pools money from many investors to purchase securities.
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Naked short selling
Naked short selling, or naked shorting, is the practice of short-selling a tradable asset of any kind without first borrowing the security or ensuring that the security can be borrowed, as is conventionally done in a short sale.
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NASDAQ
The Nasdaq Stock Market is an American stock exchange.
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National Archives and Records Administration
The National Archives and Records Administration (NARA) is an independent agency of the United States government charged with preserving and documenting government and historical records and with increasing public access to those documents, which comprise the National Archives.
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National Securities Markets Improvement Act of 1996
The National Securities Markets Improvement Act of 1996 is an amendment to United States federal securities laws in order to promote efficiency and capital formation in the financial markets, and to amend the Investment Company Act of 1940 to promote more efficient management of mutual funds, protect investors, and provide more effective and less burdensome regulation between states and the Federal Government.
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Nationally recognized statistical rating organization
A nationally recognized statistical rating organization (NRSRO) is a credit rating agency (CRA) that issues credit ratings that the U.S. Securities and Exchange Commission (SEC) permits other financial firms to use for certain regulatory purposes.
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New Deal
The New Deal was a series of programs, public work projects, financial reforms and regulations enacted in the United States 1933-36, in response to the Great Depression.
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New York Stock Exchange
The New York Stock Exchange (abbreviated as NYSE, and nicknamed "The Big Board"), is an American stock exchange located at 11 Wall Street, Lower Manhattan, New York City, New York.
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No-action letter
A no-action letter is a letter written by the staff members of a government agency, requested by an entity subject to regulation by that agency, indicating that the staff will not recommend that the agency take legal action against the entity, should the entity engage in a course of action proposed by the entity through its request for a no-action letter.
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Nonpartisanism
Nonpartisanism is a lack of affiliation with, and a lack of bias toward, a political party.
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NPR
National Public Radio (usually shortened to NPR, stylized as npr) is an American privately and publicly funded non-profit membership media organization based in Washington, D.C. It serves as a national syndicator to a network of over 1,000 public radio stations in the United States.
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Office of Inspector General (United States)
In the United States, the Office of Inspector General (OIG) is a generic term for the oversight division of a federal or state agency aimed at preventing inefficient or illegal operations within their parent agency.
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Online and offline
In computer technology and telecommunications, online indicates a state of connectivity, and offline indicates a disconnected state.
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Pecora Commission
The Pecora Investigation was an inquiry begun on March 4, 1932, by the United States Senate Committee on Banking and Currency to investigate the causes of the Wall Street Crash of 1929.
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Pequot Capital Management
Pequot Capital Management was a multibillion-dollar hedge fund sponsor founded in 1998 by Arthur J. Samberg that announced it was closing in 2009.
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Ponzi scheme
A Ponzi scheme (also a Ponzi game) is a form of fraud in which a purported businessman lures investors and pays profits to earlier investors using funds obtained from newer investors.
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Primary market
The primary market is the part of the capital market that deals with issuing of new securities.
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Project On Government Oversight
The Project On Government Oversight (POGO) is a nonpartisan non-profit organization based in Washington, DC, that investigates and works to expose waste, fraud, abuse, and conflicts of interest in the U.S. federal government.
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Public company
A public company, publicly traded company, publicly held company, publicly listed company, or public corporation is a corporation whose ownership is dispersed among the general public in many shares of stock which are freely traded on a stock exchange or in over the counter markets.
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Public Company Accounting Oversight Board
The (PCAOB) is a private-sector, nonprofit corporation created by the Sarbanes–Oxley Act of 2002 to oversee the audits of public companies and other issuers in order to protect the interests of investors and further the public interest in the preparation of informative, accurate and independent audit reports.
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Registered Investment Adviser
A Registered Investment Adviser (RIA) is a firm that is an Investment adviser in the United States, registered as such with the Securities and Exchange Commission or a state's securities agency.
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Regulation D (SEC)
In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration.
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Revenue recognition
The revenue recognition principle is a cornerstone of accrual accounting together with the matching principle.
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Robert J. Jackson Jr.
Robert J. Jackson Jr. (born February 14, 1977) is an American lawyer and academic.
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Robert Khuzami
Robert S. Khuzami (born August 2, 1956) is the current Deputy U.S. Attorney for the United States Attorney’s Office for the Southern District of New York.
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Rolling Stone
Rolling Stone is an American monthly magazine that focuses on popular culture.
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Ronald Reagan
Ronald Wilson Reagan (February 6, 1911 – June 5, 2004) was an American politician and actor who served as the 40th President of the United States from 1981 to 1989.
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S.A.C. Capital Advisors
SAC Capital Advisors was a group of hedge funds founded by Steven A. Cohen in 1992.
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Sarbanes–Oxley Act
The Sarbanes–Oxley Act of 2002, also known as the "Public Company Accounting Reform and Investor Protection Act" (in the Senate) and "Corporate and Auditing Accountability, Responsibility, and Transparency Act" (in the House) and more commonly called Sarbanes–Oxley, Sarbox or SOX, is a United States federal law that set new or expanded requirements for all U.S. public company boards, management and public accounting firms.
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SEC filing
A SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC).
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SEC Office of the Whistleblower
The U.S. Securities and Exchange Commission (SEC) whistleblower program went into effect on July 21, 2010, when the President signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act.
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Secondary market
The secondary market, also called the aftermarket and follow on public offering is the financial market in which previously issued financial instruments such as stock, bonds, options, and futures are bought and sold.
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Securities Act of 1933
The United States Congress enacted the Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub.
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Securities commission
A securities commission is a government department or agency responsible for financial regulation of securities products within a particular country.
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Securities Exchange Act of 1934
The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (codified at et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.
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Securities Investor Protection Corporation
The Securities Investor Protection Corporation (SIPC) is a federally mandated, non-profit, member-funded, United States corporation created under the Securities Investor Protection Act (SIPA) of 1970 and mandates membership of most US-registered broker-dealers.
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Securities market participants (United States)
Securities market participants in the United States include corporations and governments issuing securities, persons and corporations buying and selling a security, the broker-dealers and exchanges which facilitate such trading, banks which safe keep assets, and regulators who monitor the markets' activities.
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Securities regulation in the United States
Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities.
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Security (finance)
A security is a tradable financial asset.
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Self-regulatory organization
A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession.
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Series 7 exam
The Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for registered representatives.
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Shana Madoff
Shana Diane Madoff, sometimes referred to as Shana Madoff Skoller Swanson, (born December 8, 1967) is an American attorney who is now a yoga teacher.
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Short (finance)
In finance, a short sale (also known as a short, shorting, or going short) is the sale of an asset (securities or other financial instrument) that the seller does not own.
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Stock exchange
A stock exchange, securities exchange or bourse, is a facility where stock brokers and traders can buy and sell securities, such as shares of stock and bonds and other financial instruments.
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Stockbroker
A stockbroker is a regulated professional individual, usually associated with a brokerage firm or broker-dealer, who buys and sells stocks and other securities for both retail and institutional clients through a stock exchange or over the counter in return for a fee or commission.
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Sturm College of Law
The Sturm College of Law ("Denver Law") of University of Denver is one of two law schools in the state of Colorado.
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Temporary National Economic Committee
The Temporary National Economic Committee (TNEC) was established by a joint resolution of the United States Congress on June 16, 1938 and operated until its defunding on April 3, 1941.
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Title 17 of the Code of Federal Regulations
CFR Title 17 - Commodity and Securities Exchanges is one of fifty titles comprising the United States Code of Federal Regulations (CFR), containing the principal set of rules and regulations issued by federal agencies regarding commodity and securities exchanges.
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Trust Indenture Act of 1939
The Trust Indenture Act of 1939 (TIA), codified at, supplements the Securities Act of 1933 in the case of the distribution of debt securities in the United States.
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Underwriting
Underwriting services are provided by some large specialist financial institutions, such as banks, insurance or investment houses, whereby they guarantee payment in case of damage or financial loss and accept the financial risk for liability arising from such guarantee.
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United States Department of Commerce
The United States Department of Commerce is the Cabinet department of the United States government concerned with promoting economic growth.
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United States district court
The United States district courts are the general trial courts of the United States federal court system.
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United States Postal Service
The United States Postal Service (USPS; also known as the Post Office, U.S. Mail, or Postal Service) is an independent agency of the United States federal government responsible for providing postal service in the United States, including its insular areas and associated states.
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United States Secretary of the Treasury
The Secretary of the Treasury is the head of the U.S. Department of the Treasury which is concerned with financial and monetary matters, and, until 2003, also included several federal law enforcement agencies.
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University of Denver
The University of Denver (DU) is a research coeducational, four-year university in Denver, Colorado.
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Volcker Rule
The Volcker Rule refers to part of the Dodd–Frank Wall Street Reform and Consumer Protection Act, originally proposed by American economist and former United States Federal Reserve Chairman Paul Volcker to restrict United States banks from making certain kinds of speculative investments that do not benefit their customers.
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Wall Street
Wall Street is an eight-block-long street running roughly northwest to southeast from Broadway to South Street, at the East River, in the Financial District of Lower Manhattan in New York City.
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Washington, D.C.
Washington, D.C., formally the District of Columbia and commonly referred to as Washington or D.C., is the capital of the United States of America.
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Whistleblower
A whistleblower (also written as whistle-blower or whistle blower) is a person who exposes any kind of information or activity that is deemed illegal, unethical, or not correct within an organization that is either private or public.
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William J. Casey
William Joseph "Bill" Casey (March 13, 1913 – May 6, 1987) was the Director of Central Intelligence from 1981 to 1987.
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William O. Douglas
William Orville Douglas (October 16, 1898January 19, 1980) was an American jurist and politician who served as an Associate Justice of the Supreme Court of the United States.
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Williams Act
The Williams Act (USA) refers to 1968 amendments to the Securities Exchange Act of 1934 enacted in 1968 regarding tender offers.
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Working Group on Financial Markets
The Working Group on Financial Markets (also, President's Working Group on Financial Markets, the Working Group, and colloquially the Plunge Protection Team) was created by Executive Order 12631, signed on March 18, 1988, by United States President Ronald Reagan.
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Wrongful dismissal
In law, wrongful dismissal, also called wrongful termination or wrongful discharge, is a situation in which an employee's contract of employment has been terminated by the employer, where the termination breaches one or more terms of the contract of employment, or a statute provision or rule in employment law.
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Redirects here:
ABS-15G, Authorization for Securities and Exchange Commision, SEC Chair, SEC Commissioner, SEC Commissioners, SEC.gov, Securities & Exchange Commission, Securities And Exchange Commission, Securities Exchange Commission, Securities and Exchange Commission, Security and Exchange Commission, The Securites and Exchange Commission, U. S. Securities and Exchange Commission, U..S. Securities and Exchange Commission, U.S. SEC, U.S. Securities & Exchange Commission, U.S. Securities & Exchange Commission regulations, UNITED STATES SECURITIES AND EXCHANGE COMMISSION, US Securities and Exchange, US Securities and Exchange Commission, USA SEC, USSEC, United States Securities And Exchange Commission, United States Securities and Exchange Commission.
References
[1] https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
