U.S. Securities and Exchange Commission

US Supreme Court Reveals Intentions to Possibly Restrain SEC In-House Enforcement Practices

US Supreme Court Reveals Intentions to Possibly Restrain SEC In-House Enforcement Practices

Get an insider look at the US Supreme Court's exploration into limiting the SEC's in-house enforceme...

Nov 30, 2023 02:18 AM EST

Wells Fargo Cuts Bonus for Executives Following Scandal; More Customers Are Affected

The third largest U.S. bank Wells Fargo announced Wednesday to cut bonus for its executives followin...

Mar 06, 2017 02:27 AM EST

SEC Extended Pilot Program to Curb Excessive Market Volatility

Securities and Exchange Commission announced Thursday to extend testing on its LULD plan. The progra...

Apr 22, 2016 08:46 AM EDT

Senator Warren Criticized SEC over Decision on Steve Cohen

Senator Elizabeth Warren blasted the Securities and Exchange Commission to approved the registration...

Apr 22, 2016 04:40 AM EDT

U.S. SEC panel plans stock exchange fee-cutting experiment

The U.S. SEC should mandate an experiment in cutting stock exchanges fees and rebates. A panel of th...

Apr 21, 2016 05:27 AM EDT

Blood-Testing Firm Theranos Subject of Widening Criminal Probe by US Regulators

Blood-testing start-up, Theranos, is facing wide scrutiny by the US regulators,including the U.S. Se...

Apr 19, 2016 11:57 PM EDT

SEC charges Texas Attorney General Ken Paxton for role in stock scam

The U.S. SEC charged Texas Attorney General Ken Paxton for his alleged role in a stock scam. He is r...

Apr 12, 2016 05:10 AM EDT

New Jersey Investment Adviser Charged Over Fake Ponzi-Like Tech Company

A New Jersey Investment Adviser was charged by the U.S. Securities and Exchange Commission over its ...

Mar 24, 2016 06:38 AM EDT

Kansas Municipal Advisory Firm Settles First-Ever Fiduciary Breach with SEC

A Kansas advisory firm, Central States Capital Markets settled with the U.S. Securities and Exchang...

Mar 17, 2016 05:45 AM EDT

U.S. SEC to pay $750, 000 to high-frequency trading critic whistleblower

Nanex founder said on Tuesday that he will be receiving $750, 000 for his whistleblower award. This ...

Mar 03, 2016 03:53 AM EST

U.S. SEC charges Qualcomm for hiring relatives of China officials

Qualcomm has already reached an agreement with the U.S. Securities and Exchange Commission. The move...

Mar 03, 2016 03:39 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

American Apparel ex-CEO Charney seeks $40 million in damages

The former chief executive and founder of hipster clothing brand American Apparel Inc (APP.A), Dov C...

Mar 27, 2015 04:01 AM EDT

American Apparel under scrutiny by U.S. regulator for possible violations

American Apparel Inc said in a filing on Wednesday that the U.S. Securities and Exchange Commission ...

Mar 26, 2015 05:32 AM 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

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