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US Web snooping plan draws fire
News The US Securities and Exchange Commission (SEC) is moving to create an automated surveillance system that would scour the Internet for people who violate securities law. The Securities and Exchange Commission has a history of abiding with the...
[March 29, 2000, 9:12]
SEC clamps down on spammers and hackers
News The Securities and Exchange Commission has taken action against alleged stock promoters and hackers thought to have broken into trading accounts. The Securities and Exchange Commission (SEC) suspended trading on Thursday in the securities of 35...
[March 9, 2007, 8:07]
Former Apple lawyer settles stock-options lawsuit
News Former Apple general counsel Nancy Heinen has settled with the US Securities and Exchange Commission over charges that she improperly backdated stock options at the company. The Securities and Exchange Commission (SEC) filed a lawsuit against...
[August 15, 2008, 10:24]
Veritas pays $30m to settle SEC case
News The company announced on Friday that it would be handing over $30m (£15.2m) to The US Securities and Exchange Commission following an advertising deal that apparently went wrong. The Securities and Exchange Commission (SEC) had imposed the penalty...
[February 26, 2007, 14:24]
HP faces crisis after mole hunt
News The technology giant is expected to file documents with the Securities and Exchange Commission as early as Wednesday, providing more details about Perkins' resignation, according to sources. With his concerns mounting, Perkins asked that the...
[September 6, 2006, 16:10]
Tessera aims to wrap up IPO
News Texas Instruments, Sharp and others have also paid millions to settle legal disputes with Tessera, according to filings with the Securities and Exchange Commission. The company's IPO filing with the Securities and Exchange Commission also broadly...
[October 30, 2003, 14:45]
Market Montage Solution Supports 200,000 Updates Per Second With SQL Server 2005
White Papers Securities and Exchange Commission's Regulation NMS (requiring dealers to use best-available pricing when executing securities orders), it thought it would need a Cray supercomputer or other specialized solution.
[April 16, 2008, 1:02]
Major Caldera shareholders may sell
News As a result of a Securities and Exchange Commission filing, Tarantella will be able to sell 16 million Caldera shares through a dealer or broker, while MTI Technology will be able to sell 5.3 million shares.
[July 24, 2001, 11:47]
Google faces new inquiry over stock options
News Google said late on Monday that the US Securities and Exchange Commission has begun an informal inquiry into its issuance of stock options to insiders, yet another caution before the company's closely watched public offering begins.
[August 17, 2004, 16:35]
Web stock tipster charged
News The Securities and Exchange Commission announced on Tuesday that it had filed civil securities fraud charges against Nicholas A. A US citizen who runs a Web site that recommended stock market investments has been accused of violating US securities...
[August 2, 2006, 17:30]
SEC raises tensions at the Googleplex
News Since its August IPO, Google has filed documents with the Securities and Exchange Commission (SEC) detailing the multimillion-dollar stock sales of founders Sergey Brin and Larry Page, all the way down to the rank and file.
[January 10, 2005, 13:20]
Google still waiting for SEC approval
News We have not declared the registration statement effective," John Heine, a spokesman for the US Securities and Exchange Commission, said after Google's requested deadline of 1 p.m. Federal regulators did not authorise Google's initial public...
[August 18, 2004, 8:45]
Microsoft paying $308m for Novell deal
News Novell disclosed details of the partnership in a Securities and Exchange Commission filing on Tuesday. In one of the more complex examples of "coopetition" in the computer industry, Microsoft will pay Novell a net amount of $308m (£161.4m approx...
[November 8, 2006, 9:03]
Google discloses Playboy text to SEC
News Google on Friday disclosed in a filing with the Securities and Exchange Commission the full text of its founders' controversial interview with Playboy magazine and the potential concern by securities regulators over the timing of the article's...
[August 13, 2004, 15:45]
More government eyes on Qwest
News Last month, Qwest fired chief executive Joseph Nacchio amid an investigation of its accounting procedures by the Securities and Exchange Commission. The federal government is reviewing the contract status of Qwest Communications International in...
[July 15, 2002, 7:57]
IBM shares fall on SEC worries
News The US Securities and Exchange Commission has started a new investigation of IBM's accounting practices, according to a report from private research firm SEC Insight. We believe (IBM's) preannouncement reflects reduced flexibility, in part stemming...
[April 12, 2002, 7:31]
SEC may sue Business Objects
News The Securities and Exchange Commission may file a civil suit against Business Objects for the software company's practice of not disclosing its backlog of unshipped orders. The proposed action would not assert claims under the antifraud provisions...
[August 5, 2004, 10:00]
EDS shares drop as SEC probe deepens
News Electronic Data Systems' stock fell by nearly 10 percent on Tuesday on news that a US Securities and Exchange Commission probe into the company has grown more serious. Late Friday, the computer services giant said the SEC's informal inquiry into...
[January 22, 2003, 8:17]
Records Management and SEC Rules 17a-3 and 17a-4
White Papers This white paper provides a discussion of records management requirements related to brokers-dealers as derived from and as a result of the Securities and Exchange Commission's Rules 17a-3 and 17a-4. It goes on to consider general records...
[October 9, 2009, 2:10]
How Compliant is YOUR Email Archive?
White Papers Securities and Exchange Commission (SEC) Rules National Association of Securities Dealers (NASD) Rules Failure to archive your emails can have dire consequences for your business. Do any of these regulations impact you?
[August 5, 2008, 17:29]
