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U.S. Securities and Exchange Commission

Two Senate Democrats push insider trading bill after court ruling

A U.S. court decision limiting the ability of authorities to pursue insider trading charges is promp...

Mar 12, 2015 05:34 AM EDT

U.S. consumer watchdog warns on arbitration, could issue new rules

The top U.S. consumer watchdog said on Tuesday that arbitration clauses used by companies to dodge l...

Mar 10, 2015 02:50 AM EDT

Rajaratnam, Gupta seek to void U.S. insider trading penalties

Galleon Group hedge fund founder Raj Rajaratnam and former Goldman Sachs Group Inc director Rajat Gu...

Mar 10, 2015 02:35 AM EDT

U.S. SEC steps back after challenge on Whole Foods proxy access

The U.S. Securities and Exchange Commission on Friday backed off a ruling it made on when companies ...

Jan 17, 2015 05:19 AM EST

SEC eyes transfer agents in new front against U.S. stock fraudsters

In their battle to root out microcap stock fraudsters, U.S. securities regulators are turning their ...

Jan 12, 2015 10:17 AM EST

U.S. SEC economists to write paper on risky ETFs and market volatility

U.S. Securities and Exchange Commission economists have begun scrutinizing riskier types of exchange...

Jan 11, 2015 09:19 AM EST

Ex-broker must pay $768,000 for scheme to profit from terminally ill

A New York broker who participated in a scheme to profit from the death of terminally ill patients t...

Jan 08, 2015 02:31 AM EST

U.S. regulator charges two with insider trading in Abbott deal

A former board member of Chile's CFR Pharmaceuticals SA was charged Monday by U.S. regulators with i...

Dec 23, 2014 03:28 AM EST

U.S. SEC says dropping insider trading case related to Herbalife

The U.S. Securities and Exchange Commission moved on Monday to dismiss insider-trading proceedings a...

Dec 16, 2014 03:03 AM EST

Executive in Chinese reverse merger case avoids U.S. prison

A former executive at a Chinese oil and gas company has avoided prison in the only U.S. criminal cas...

Dec 13, 2014 09:50 AM EST

Whistleblower claim against brokerage belongs in arbitration: court

A TD Ameritrade Holding Corp employee who said the firm retaliated against him for complaining about...

Dec 10, 2014 02:55 AM EST

U.S. SEC charges two ex-retirement home executives for faking occupants

Two former executives of a Wisconsin assisted living provider listed phony occupants to meet the com...

Dec 04, 2014 03:32 AM EST

U.S. judge orders Life Partners, two executives to pay $46.9 million in SEC case

A federal judge ordered Life Partners Holdings Inc and two top executives to pay $46.9 million for m...

Dec 03, 2014 07:24 AM EST

Honda's finance arm to be charged with fair lending violations

American Honda Finance Corp, the U.S. lending arm of carmaker Honda Motor Co Ltd, said on Tuesday th...

Dec 03, 2014 07:15 AM EST

U.S. SEC reports rise in whistleblower tips in fiscal 2014

The U.S. Securities and Exchange Commission received more than 3,500 tips from whistleblowers in fis...

Nov 19, 2014 09:25 AM EST

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