SEC

U.S. regulator freezes Chinese executive's assets over 'suspicious' Qihoo trades

The U.S. securities regulator has obtained a court order to freeze the assets of a Chinese online ga...

Jun 25, 2015 07:39 AM EDT

SEC launches compliance review to protect retiree investors

The U.S. Securities and Exchange Commission on Monday launched a program to ensure brokerages and ad...

Jun 22, 2015 06:48 PM EDT

SEC investigates allegations of misspending by Dow Chemical CEO

The U.S. Securities and Exchange Commission is investigating allegations that Andrew Liveris, chairm...

Jun 04, 2015 05:36 PM EDT

Wall St. watchdog says Labor Department broker rule 'not the way to go'

A U.S. Labor Department plan to reduce conflicts with brokers who offer retirement account advice dr...

May 28, 2015 06:50 AM EDT

Non-profit sues U.S. SEC to force political disclosures rules

A newly created non-profit organization sued the U.S. Securities and Exchange Commission on Wednesda...

May 14, 2015 10:32 AM EDT

U.S. bid to extradite ex-JPMorgan trader from Spain hits dead end: filing

U.S. prosecutors said Friday their efforts to extradite from Spain a former JPMorgan Chase & Co exec...

May 02, 2015 06:44 AM EDT

Big U.S. investors push SEC for oil industry to detail risks of climate change

Calpers, the largest American public pension fund, and nearly 60 other institutional investors will ...

Apr 17, 2015 06:12 AM EDT

SEC investigating sale of complex securities to mom-and-pop investors: official

A top regulator on Tuesday said the Securities and Exchange Commission will bring more enforcement a...

Apr 14, 2015 08:54 AM EDT

SEC's White says 'closely monitoring' proxy access efforts

Securities and Exchange Commission Chair Mary Jo White told lawmakers on Tuesday the agency would no...

Mar 24, 2015 06:08 PM EDT

SEC's White breaks her silence on controversial waiver policy

U.S. Securities and Exchange Commission Chair Mary Jo White on Thursday defended the process her age...

Mar 13, 2015 05:46 AM EDT

SEC plans to level playing field for newer ETF firms

The U.S. Securities and Exchange Commission may strip Vanguard Group, BlackRock Inc and State Street...

Mar 02, 2015 08:31 AM EST

Texas Wyly brothers must pay $299 million in SEC fraud case: judge

A federal judge on Thursday ordered Texas tycoon Sam Wyly and his late brother's estate to pay the U...

Feb 26, 2015 10:41 PM EST

Coal company L&L Energy founder gets five years in U.S. prison for fraud

The founder of coal company L&L Energy Inc was sentenced to five years in prison Friday for lying to...

Feb 21, 2015 07:23 AM EST

SEC on the prowl for cyber security cases: official

Investigators at the U.S. Securities and Exchange Commission are on the lookout for violations such ...

Feb 21, 2015 07:08 AM EST

U.S. bank executive heads to trial over concealed losses

The former chief operating officer of a major Chinese-American bank in San Francisco is set for tria...

Feb 17, 2015 07:43 AM EST

• 1
• 2
• 3
• 4