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  • SEC Obtains Court Order Against Maurice Greenberg, C.V. Starr And AIG To Protect Documents In Ongoing Investigation

    Date 07/04/2005

    The Securities and Exchange Commission today obtained a protective order against respondents Maurice R. Greenberg (Greenberg), C.V. Starr & Company, Inc. (C.V. Starr) and American International Group, Inc. (AIG), in the United States District Court for the Southern District of New York, to protect documents in the Commission's ongoing investigation. The respondents consented to the Order.

  • SEC Issues Guidance Regarding Prohibited Conduct In Connection With IPO Allocations

    Date 07/04/2005

    The Securities and Exchange Commission today issued an interpretive release (Release Nos. 33-8565; 34-51500; IC-26828) to provide guidance regarding prohibited conduct by underwriters in connection with initial public offering (IPO) allocations. Regulation M prohibits underwriters and others from bidding for, purchasing, or attempting to induce any person from bidding for or purchasing an offered security during a restricted period as def

  • SEC Announces Panelists For April 13th Roundtable On Implementation Of Internal Control Reporting Provisions - Discussions To Be Webcast In Real Time

    Date 07/04/2005

    Securities and Exchange Commission Chairman William H. Donaldson announced today the panelists for the Commission's Roundtable on Implementation of Internal Control Reporting Provisions. The Roundtable will feature a broad range of stakeholders involved with internal control reporting - including investor advocates, representatives of public companies, members of audit committees, auditors, attorneys, and U.S. regulators.

  • SEC Adopts Regulation NMS And Provisions Regarding Investment Advisers Act of 1940

    Date 07/04/2005

    On April 6, the Commission voted to adopt provisions regarding the application of the Investment Advisers Act of 1940 to certain broker-dealers. (See Advisers Act Release No. 1845, Advisers Act Release No. 2278, Advisers Act Release No. 2339, and Advisers Act Release No. 2340).

  • Resolutions From OMX’s Annual General Meeting

    Date 07/04/2005

    Shareholders at the OMX Annual General Meeting convened earlier today in Stockholm voted in favor of all resolutions proposed at the meeting, including: The Annual General Meeting approved the Board’s proposal that no dividend be distributed to the shareholders. The current Board members, Adine Grate Axén, Urban Bäckström, Bengt Halse, Birgitta Klasén, Tarmo Korpela, Henrik Normann, Markku Pohjola and Olof Stenhammar, were re-elected. Olof Stenhammar was elected as Chairman of the

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