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Topic: Securities and Exchange Commission appointees

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	U.S. Securities and Exchange Commission - Wikipedia, the free encyclopedia
		The U.S. Securities and Exchange Commission, commonly referred to as the SEC, is the United States governing body which has primary responsibility for overseeing the regulation of the securities industry.
		It enforces, among other acts, the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisors Act of 1940.
		The SEC has five Commissioners who are appointed by the President of the United States with the advice and consent of the United States Senate.
	en.wikipedia.org /wiki/Securities_and_Exchange_Commission (331 words)

	GAO-03-339, Securities and Exchange Commission: Actions Needed to Improve Public Company Accounting Oversight Board ...
		First, we recommend that the Commission reach agreement upon and document the process to be followed, the proper sequence and timing of key steps, and the roles to be played by the Commission and SEC staff in the selection and vetting of candidates.
		Although the Chairman had tasked the General Counsel with vetting the PCAOB appointees, the Commission and staff did not discuss or reach agreement on the role to be played by the General Counsel in the interview process after early October when the process changed.
		Although the Commission was informed that background checks and vetting had not occurred before the vote on October 25, the Chairman and Commissioners generally believed that the Office of the General Counsel and/or the Office of the Chief Accountant was undertaking some type of vetting of candidates throughout the process.
	www.gao.gov /htext/d03339.html (11317 words)

	CASES -- Self-Incrimination
		Securities brokerage firm, and individual brokers, sued investigative arm of National Association of Securities Dealers (NASD), seeking injunction barring NASD from compelling their testimony as part of civil securities fraud investigation.
		Securities and Exchange Commission (SEC) may bring injunctive actions against those who aid and abet violations of Securities Exchange Act's general antifraud provision and provision governing filing of supplementary and periodic information.
		Elements of aiding and abetting securities law violations, required for Securities and Exchange Commission (SEC) to pursue injunctive action, are: existence of independent primary violation; actual knowledge by alleged aider and abettor of primary violation and of his or her own role in furthering it; and substantial assistance in commission of the primary violation.
	www.bloomt-hal.com /chapter6/cases.htm (6627 words)

	Iran: Tehran Stock Exchange Has Long-Term Difficulties
		The gains in Iranian securities had continued until recently, too, culminating in a tripling of the key Tehran index in the period from 2001 to May 2005.
		The Tehran Stock Exchange began dealing in the shares of a few private banks and companies, as well as treasury bonds and state-backed securities, in 1968.
		He also said the government and the exchange are trying to determine how to support the stock market, and he added that offering shares in state enterprises is one way to motivate prospective investors.
	www.payvand.com /news/05/oct/1066.html (1218 words)

	The Sunday Leader Internet Edition (Site not responding. Last check: 2007-10-09)
		This week we focus on the Securities and Exchange Commission Chairman C.P. de Silva's much speculated reporting of the commission's director general, Arittha Wikramanayake, at the behest of the members of the commission to President Chandrika Bandaranaike Kumaratunga, who is also the minister of finance and under whose ministry the commission functions.
		The chairman of the commission reported to the president on November 19, 1996, at the behest of the commission, certain acts of insubordination by the director general, Arittha Wikramanayake.
		Given this scenario of events, the members of the Securities and Exchange Commission were summoned to a special meeting of the commission on November 12,1996, which as it transpired was to discuss the alleged insubordination of the director-general, Wikramanayake.
	www.lanka.net /sundayleader/1997/2/3/issues.html (2909 words)

	Securities and Exchange Commission Office of Inspector General Semiannual Report to Congress, October 1, 2003 to March ...
		One subject referred to the Commission during a prior period was removed, and another resigned.
		Eight subjects referred to the Commission during this period and prior periods are awaiting disposition.
		The Semiannual Report of the Inspector General (IG) of the Securities and Exchange Commission (SEC) was submitted to the Chairman on April 30, 2004 as required by the Inspector General Act of 1978, as amended.
	www.sec.gov /about/oig/audit/semapr04.htm (5649 words)

	SRO Rulemaking: SR-DTC-00-10 - Depository Trust Company; Notice
		The Commission is publishing this notice to solicit comments on the proposed rule change from interested parties.
		In its filing with the Commission, DTC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change.
		The Commission has stated that matching is a clearing agency function that requires an entity that performs matching to register as a clearing agency or obtain an exemption from registration as a clearing agency.
	www.sec.gov /rules/sro/dt0010n.htm (1749 words)

	Social Security Basics
		Social Security also pays lifetime monthly income to workers who are disabled and in some cases to their spouses and children under the age of 18.
		Over the past 50 years, the Social Security payroll tax rate has climbed from 2 percent (one percent by the employee and one percent in his or her behalf by the employer) to 12.4 percent (6.2 percent by each).
		Social Security attempts to provide an average wage worker with a monthly retirement benefit that is roughly 40 percent of his or her final month’s paycheck.
	www.heritage.org /Research/SocialSecurity/wm143.cfm (9927 words)

	Article 2000-11-19: SEC Allows Some Consulting For Accounting Firms
		The Securities and Exchange Commission voted unanimously on Wednesday to limit the types of consulting work that accounting firms can do for their audit clients, claiming such a dual relationship could appear to be a conflict of interest.
		A Clinton appointee, the SEC chief is rumored to soon be leaving the post he has held since 1993, making him Wall Street's longest serving top regulator.
		Some securities industry officials see the auditor rule as Levitt's swan song, but the SEC is expected to hold at least one more public hearing on another of his pro-investor projects -- requiring mutual funds to report after-tax performance figures to shareholders.
	www.cob.sjsu.edu /bap/feature/feature20001119.htm (820 words)

	[No title]
		The Commission may allocate or reallocate functions among the officers of the Commission, and to establish, consolidate, alter, or discontinue such organizational entities within the Commission as may be necessary or appropriate.
		The Commission shall permit the use of such property, facilities, structures, or improvements under such terms and rates and for such period as may be in the public interest, except that the periods of such uses may not exceed five years.
		The Commission may require permittees under this section to recondition and maintain, at their own expense, the real property, facilities, structures, and improvements used by such permittees to a standard satisfactory to the Commission.
	www.agriculturelaw.com /legis/bills107/hr5149.htm (2986 words)

	Securities and Exchange Commission Article, SecuritiesandExchangeCommission Information (Site not responding. Last check: 2007-10-09)
		The Securities and Exchange Commission, commonly referred to as the SEC, is the United States governing body which has primary responsibility for overseeing theregulation of the securities industry.
		It enforces, amongother acts, the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust IndentureAct of 1939, the Investment Company Actof 1940 and the Investment Advisors Act.
		For alist of other appointees, see: Securities and Exchange Commission appointees.
	www.anoca.org /act/pl/securities_and_exchange_commission.html (275 words)

	Online NewsHour -- Enron: After the Collapse
		The Securities and Exchange Commission (SEC) is the agency charged with overseeing trade of stocks, bonds and other investments that change value with the stock market's movements.
		The commission works with other institutions, including Congress, other federal agencies, state securities regulators, various private sector organizations and self-regulating organizations like the stock exchanges.
		During the Wall Street insider trading scandals of the 1980s, Pitt gained a reputation as a powerful securities lawyer for his defense of clients such as speculator Ivan Boesky, who plead guilty in exchange for a lesser sentence in the 1988 Savings and Loan insider trading trials.
	www.pbs.org /newshour/bb/business/enron/player7.html (333 words)

	Frist defends HCA stock sale as proper - Boston.com (Site not responding. Last check: 2007-10-09)
		The statement by the Tennessee Republican -- a potential 2008 presidential candidate -- came as Securities and Exchange Commission Chairman Christopher Cox recused himself from the probe because he is a former congressional colleague of Frist.
		The commission is comprised of three Republicans and two Democrats.
		Cox said his recusal covers any future deliberations or any vote by the commission, as well as any investigative management duties the SEC chairman might be called on to handle.
	www.boston.com /news/nation/washington/articles/2005/09/27/sen_frist_to_speak_on_hca_stock_sale_aide (775 words)

	The Catbird Spots the SEC (Site not responding. Last check: 2007-10-09)
		In the wake of widespread public revulsion and populist fury, Congress passed historic legislation, the Securities Act of 1933 and the Securities Exchange Act of 1934.
		Harvey Pitt - Chairman of the Securities and Exchange Commission.
		The Securities and Exchange Commission should be headed by a person who has both the professional skills and the moral clarity to make tough decisions about financial matters.
	www.the-catbird-seat.net /TheSEC.htm (8816 words)

	S.E.C. Decides to Take No Action After Inquiry Into Lazio's Trades
		A spokesman for the commission, while declining to confirm the inquiry, said then that the agency was independent.
		Lazio nor the commission would describe the documents or detail any negotiations that were part of the inquiry.
		The commission generally does not discuss investigations while they are continuing, but when it closes one without taking action, it customarily sends a short letter to the subject.
	partners.nytimes.com /library/politics/camp/082300sen-ny-lazio.html (957 words)

	Halliburton Watch
		The alleged bribe was paid in exchange for awarding a contract to the companies to build a $4 billion natural gas plant in Nigeria's southern delta region.
		The U.S. Securities and Exchange Commission is investigating a second bribery case involving Nigeria.
		Halliburton settled an investigation by the Securities and Exchange Commission (SEC) which accused the firm of providing "materially misleading" information to investors during the period when Vice President Dick Cheney was the chief executive officer.
	www.halliburtonwatch.org /shareholder2004.html (1405 words)

	Progressive Government Institute - Appointee Data
		Securities lawyers refer to this requirement as "'scienter' — a mental state embracing intent to deceive, manipulate or defraud." It's an extremely difficult standard to meet.
		The Securities and Exchange Commission is investigating if the firing of a Wachovia Corp. analyst was a retaliation for the analyst refusing to change his reports for investment bankers.
		Washington (Nov. 17, 2005) - The Securities and Exchange Commission's 2005 financial statements got a clean bill of health from the Government Accountability Office, after the SEC accelerated its financial reporting schedule to issue the documents.
	www.progressivegovernment.org /appointee_nom.php?lastname=Cox&firstname=Christopher (955 words)

	Read about Securities and Exchange Commission at WorldVillage Encyclopedia. Research Securities and Exchange Commission ... (Site not responding. Last check: 2007-10-09)
		The Securities and Exchange Commission, commonly referred to as the SEC, is the
		United States governing body which has primary responsibility for overseeing the regulation of the securities industry.
		It enforces, among other acts, the Securities Act of 1933, the
	encyclopedia.worldvillage.com /s/b/SEC (255 words)

	[No title]
		Exchange Commission are entrusted by various enactments of the Congress with powers and duties of great social and economic significance to the American people.
		Commission or a hearing officer except as stated in paragraphs (a) and (b) of this section or as otherwise permitted by the Commission or a hearing officer.
		Commission, a party may request the issuance of subpoenas requiring the attendance and testimony of witnesses at the designated time and place of hearing, and subpoenas requiring...
	www.peo7.com /CFRFiles/28983_CFR.Htm (7448 words)

	Securities and Exchange Commission at opensource encyclopedia (Site not responding. Last check: 2007-10-09)
		U.S. Securities and Exchange Commission: official Federal Agency website, including news, legal and other releases and reports, investor education material, and the EDGAR database of corporate disclosure reports...
		The Securities and Exchange Commission has five Commissioners who are appointed by...
		as Chairman of the Securities and Exchange Commission of Pakistan (the Commission).
	www.springknow.com /SEC.html (634 words)

	Freddie Mac: Corporate Governance FAQ
		The statute that established Freddie Mac as a stockholder-owned corporation specifies that Freddie Mac is to have a board of directors consisting of 18 directors, with 13 directors elected by the stockholders and 5 appointed by the President of the United States.
		Freddie Mac anticipates filing its Form 10 registration statement with the Securities and Exchange Commission, for the purpose of registering its common stock under the Securities Exchange Act of 1934, in the second quarter of 2006, and becoming a registrant under that Act as soon as possible after the filing.
		Freddie Mac is in the process of implementing policies and procedures to become compliant with other provisions of the Act that will become applicable to it upon completion of the voluntary registration process.
	www.freddiemac.com /corporate/about/governance/faq.html (1102 words)

	Bush administration - SourceWatch
		Cox, Christopher: Christopher Cox, member Securities and Exchange Commission July 29, 2005, replaced William H. Donaldson, who resigned.
		Pitt, Harvey L.: Harvey L. Pitt; first Chairman of the Securities and Exchange Commission; replaced by William H. Donaldson.
		Ridge, Tom: Tom Ridge, Secretary, Department of Homeland Security (formed 2001); New York City police commissioner Bernard Kerik was nominated to replace Ridge during Bush's second term, but withdrew from consideration after various concerns were raised; Michael Chertoff replaced Ridge during Bush's second administration.
	www.sourcewatch.org /wiki.phtml?title=Bush_administration (1518 words)

	The American Street » Blog Archive » Viceroy (Site not responding. Last check: 2007-10-09)
		Their secret meeting came at a critical moment in the White House campaign to convince Congress and the American public that war in Iraq was necessary to prevent Saddam Hussein from developing nuclear weapons.
		National Security Council spokesman Frederick Jones confirmed the meeting to the Prospect on Tuesday.
		The task force’s real legacy was to mire the administration in a thicket of congressional investigations and private lawsuits, all springing from Cheney’s insistence on Nixonian secrecy.
	www.reachm.com /amstreet/archives/2005/10/26/viceroy (1933 words)

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