Word: sec
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Dates: during 2000-2009
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...Donaldson resign? The Bush nominee, above right, often clashed with two fellow Republicans on the commission who thought he was too keen to regulate and punish. During his tenure, the SEC levied hefty fines against corporate transgressors and, among other things, established a rule requiring that mutual funds have chairmen independent from the firms they oversee...
...accounting industry," contends John Berlau, a fellow at the pro-business Competitive Enterprise Institute, who cites an American Electronics Association study that put the cumulative costs of complying in the first year alone at $35 billion. Such critics may find a more receptive ear at the helm of the SEC. -By Unmesh Kher
...preliminary proxy statement filed on May 25 with the Securities and Exchange Commission (SEC), Harvard asked the shareholders of Korea Equity Fund, Inc., to reject the fund’s nominees to its board of directors and vote to terminate the fund’s agreement with its investment manager, Nomura Asset Management U.S.A...
Harvard owned 2,441,200 shares in the fund on March 31, according to SEC filings. If it holds the same number of shares today, its stake would be worth $16.4 million, making it the fund’s largest institutional shareholder...
Sowood General Counsel Megan Kelleher said the filing is Harvard’s first proxy statement concerning Korea Equity Fund. The filing is now subject to SEC review...