SEC

Valeant Pharmaceuticals under SEC investigation for poor market performance

The Valeant Pharmaceuticals International is now under the scrutiny of the US SEC after its annual f...

Mar 01, 2016 12:06 AM EST

Exclusive: New York seeks SEC to force climate vote onto Exxon proxy

New York State's comptroller and four other Exxon Mobil shareholders allegedly sought the SEC for he...

Feb 26, 2016 07:34 PM EST

NYSE withdraws proposal to determine deviation in trading exchange traded funds

The Securities and Exchange Commission confirmed that the New York Stock Exchange withdrew its propo...

Feb 22, 2016 08:58 AM EST

Mondelez Receives Wells Notice from SEC

Mondelez has confirmed that they have received a Wells notice from the U.S. SEC for their Cadbury pl...

Feb 22, 2016 08:22 AM EST

Defendant pleads guilty for international hacking scheme; US SEC announced 9 more accused

Another defendant in the international hacking case, Arkadiy Dubovoy, 51, pleaded guilty before a US...

Feb 19, 2016 08:46 AM EST

New York brokerage CEO sentenced to 6 months in prison

U.S. authorities nabbed the CEO of a brokerage firm in New York for obstructing an SEC investigation...

Feb 19, 2016 06:28 AM EST

Securities and Exchange Commission pursues trial for two Euro Pacific Capital ex-traders

The Securities and Exchange Commission will pursue case of Euro Pacific Capital ex-traders Daryl Pay...

Feb 17, 2016 10:01 AM EST

Report: SEC investigates former Salix CEO, CFO over investor disclosure

U.S. securities regulators are allegedly investigating the former CEOs at Salix Pharmaceuticals. SEC...

Feb 11, 2016 09:34 AM EST

Barclays, Credit Suisse to settle $154.3 million fine over dark pool allegations

Barclays and Credit Suisse will pay a combined $154.3 million over charges on dark pool unlawful pra...

Feb 01, 2016 01:11 AM EST

Fenway Partners, four executives, to pay $10.2 million for disclosure lapses: SEC

New York-based Fenway Partners LLC and four executives will pay a total of more than $10.2 million t...

Nov 04, 2015 12:28 AM EST

SEC proposes reforms to in-house trials on heels of criticism by defense bar

Amid mounting pressure from defense attorneys, the U.S. Securities and Exchange Commission took step...

Sep 24, 2015 09:47 PM EDT

SEC settles with two ex-Fannie Mae executives, but not ex-CEO

The U.S. Securities and Exchange Commission has reached a settlement with two former Fannie Mae (FNM...

Sep 21, 2015 09:10 PM EDT

Judge orders SEC to expedite resource extraction rule

A federal judge has ordered the U.S. Securities and Exchange Commission to fast-track a final rule r...

Sep 04, 2015 03:19 AM EDT

SEC joins German investigation of Ford: source

The United States' securities watchdog is helping German prosecutors to investigate the alleged paym...

Aug 18, 2015 09:33 PM EDT

U.S. graft probes may cost Petrobras record $1.6 billion or more - source

Brazil's Petrobras may need to pay record penalties of $1.6 billion or more to settle U.S. criminal ...

Aug 18, 2015 02:49 AM EDT

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