Inspectors find Phila. exchange lax on rules

Article Abstract:

Securities and Exchange Commission inspectors had warned the Philadelphia Stock Exchange of serious deficiencies in the exchange's regulatory programs. The compliance officers stated that the exchange was neither adequately enforcing rules meant to assure that investors get the best price on securities trades nor was it disciplining members sufficiently.

Legal issues & crime, Government regulation (cont), Government regulation, Security brokers and dealers, Legal/Government Regulation, Securities & Commodities Services, Securities, Commodity Contracts, and Other Financial Investments and Related Activities, Company legal issue, Laws, regulations and rules, Investigations, Securities industry, Powers and duties, United States. Securities and Exchange Commission, Philadelphia Stock Exchange Inc., Securities trading

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Vanguard lags in job growth, so Pa. aid is cut

Article Abstract:

Vanguard Group wants to scale back a $55.5 million economic development grant hailed in 2000 as a major coup by Chester County and Pennsylvania as it was unable to meet the state deadlines to create jobs. The state tax credit was reduced to $803,000 after Vanguard added only 803 jobs.

Taxes, Pennsylvania, Management investment, open-end, Taxation, Economic aspects, Mutual fund industry, Vanguard Group Inc.

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