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An independent federal agency that oversees the exchange of securities to protect investors.
SEC
1
The U.S.
Securities
and
Exchange
Commission
also announced a related civil case.
2
The exchanges' plans will be subject to
Securities
and
Exchange
Commission
approval.
3
The federal
Securities
and
Exchange
Commission
is also investigating, the Times said.
4
Insiders have recently been buying, according to
Securities
and
Exchange
Commission
filings.
5
The U.S.
Securities
and
Exchange
Commission
conceded this point to some extent.
6
Last May, the
Securities
and
Exchange
Commission
brought similar allegations against Konior.
7
Any rule would require approval from the U.S.
Securities
and
Exchange
Commission
.
8
The U.S.
Securities
and
Exchange
Commission
brought separate civil charges against him.
9
The U.S.
Securities
and
Exchange
Commission
filed related civil charges against him.
10
She also settled charges by the
Securities
and
Exchange
Commission
on Thursday.
11
Now the U.S.
Securities
and
Exchange
Commission
has started an informal inquiry.
12
They also reached related settlements with the U.S.
Securities
and
Exchange
Commission
.
13
Former U.S.
Securities
and
Exchange
Commission
Chairman Richard Breeden oversees that fund.
14
The
Securities
and
Exchange
Commission
has created parallel reforms for security-based derivatives.
15
A formal filing with the
Securities
and
Exchange
Commission
is still forthcoming.
16
The U.S. Federal Reserve and
Securities
and
Exchange
Commission
declined to comment.