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SEC Didn't Expand Upon Stock-Abuse Settlement.
- Source :
-
Wall Street Journal - Eastern Edition . 3/19/2010, Vol. 255 Issue 64, pC1-C3. 2p. - Publication Year :
- 2010
-
Abstract
- The article discusses a 2003 agreement between the U.S. Securities and Exchange Commission (SEC) and the financial industry aimed at preventing a firm's stock analysts from promoting companies its investment bankers are doing business with. U.S. District Judge William H. Pauley III issued a ruling that upheld parts of the pact but weakened others. The SEC apparently never tried to enforce certain conditions of the 2003 accord on an industry-wide basis.
- Subjects :
- *INVESTMENT bankers
*FINANCIAL analysts
Subjects
Details
- Language :
- English
- ISSN :
- 00999660
- Volume :
- 255
- Issue :
- 64
- Database :
- Academic Search Index
- Journal :
- Wall Street Journal - Eastern Edition
- Publication Type :
- News
- Accession number :
- 48639010