UBS could be parially suspended from operating until those who purchased ARS from the firm are reimbursed.
HealthMarkets Inc. faces up to $10 million in additional penalties if it doesn’t meet disclosure and oversight standards.
Economic activity has slowed in the past month, with Americans buying fewer goods in all categories.
The bill would provide $300 billion in funding to troubled homeowners and aid the ailing Fannie Mae and Freddie Mac.
They have reason to be nervous: Women work 12 fewer years than men on average and have less put away for retirement.
This could be the first of several cases arising from an investigation into the auction rate securities market.
E*Trade Financial reported a second-quarter earnings loss of $94.6 million compared to a net income gain of $159.1 million a year ago.
The Select 5 fixed-interest annuity is a single-premium product that is guaranteed for five years.
Confidence among global institutional investors rose this month, but was weak on the home front, according to a survey.
The SEC has released its second ComplianceAlert aimed at providing guidance to chief compliance officers.
