Topic: SEC Activities
SEC told to improve ways it chooses probe targets
AP News
<div id="subtitle">SEC watchdog says agency must tighten process for picking which investment advisors to inspect</div><div><p>The Securities and Exchange Commission must tighten its process for deciding which investment advisers to inspect if it is to avoid colossal ...
SEC says former Tvia execs inflated revenue
AP News
<div id="subtitle">SEC charges former executives at chipmaker Tvia with inflating financial results</div><div><p>The Securities and Exchange Commission said Tuesday it has charged former executives at semiconductor company Tvia Inc. with improperly inflating the company's revenue.< ...
SEC staff targets Beazer Homes CEO over bonus pay
AP News
<div id="subtitle">Beazer CEO could face government 'claw back' of incentive compensation; SEC urges civil action</div><div><p>Federal regulators may try to collect bonus money awarded to the top executive of Beazer Homes USA Inc. covering periods when the ...
JPMorgan settles SEC 'pay-to-play' charges in Ala.
AP News
<div id="subtitle">JPMorgan settles SEC 'pay-to-play' charges in Ala.; pays $75M fines &amp; forfeits $647M in fees</div><div><p>JPMorgan Chase &amp; Co. has agreed to pay $75 million in fines and forfeit $647 million in fees to ...
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