U.S. authorities nabbed the CEO of a brokerage firm in New York for obstructing an SEC investigation. The respondent pleaded guilty to the charge and admitted the act of falsifying invoices sent to the SEC.
The Securities and Exchange Commission will pursue case of Euro Pacific Capital ex-traders Daryl Payton and Benjamin Durant. The case involved alleged placing of trades prior to a deal announcement from IBM with SPSS.
U.S. securities regulators are allegedly investigating the former CEOs at Salix Pharmaceuticals. SEC investigates Salix for its misled investors in connection with the company's 2014 disclosure.
Barclays and Credit Suisse will pay a combined $154.3 million over charges on dark pool unlawful practices. Reports confirmed the settlement per statements from the U.S. Securities and Exchange Commission and the New York state.
New York-based Fenway Partners LLC and four executives will pay a total of more than $10.2 million to settle charges that they failed to tell investors about payments to employees by one of its private equity fund companies, U.S. securities regulators said on Tuesday.
Amid mounting pressure from defense attorneys, the U.S. Securities and Exchange Commission took steps on Thursday to level the playing field for defendants who go toe-to-toe with the agency in its own home court.
The U.S. Securities and Exchange Commission has reached a settlement with two former Fannie Mae (FNMA.OB) executives in one of its biggest lawsuits tied to the financial crisis, and the two men agreed as part of the deal to cooperate with the SEC in its case against former Chief Executive Daniel Mudd.
A federal judge has ordered the U.S. Securities and Exchange Commission to fast-track a final rule requiring oil, gas and mining companies to disclose payments to foreign governments, after a human rights group complained the regulator was dragging its feet.
The United States' securities watchdog is helping German prosecutors to investigate the alleged payment of bribes by Ford (F.N) to speed the passage of containers through Russian customs, a source at the U.S. carmaker said on Tuesday.
Brazil's Petrobras may need to pay record penalties of $1.6 billion or more to settle U.S. criminal and civil probes into its role in a corruption scandal, a person recently briefed by the company's legal advisors told Reuters.
The U.S. securities regulator has obtained a court order to freeze the assets of a Chinese online gaming CEO over what it described as "suspicious" trading activity ahead of a $10 billion deal by U.S.-listed Qihoo 360 Technology Co Ltd.
The U.S. Securities and Exchange Commission on Monday launched a program to ensure brokerages and advisers are offering reasonable investment advice and disclosing conflicts to retirement-age investors.
The U.S. Securities and Exchange Commission is investigating allegations that Andrew Liveris, chairman and chief executive officer of industrial giant Dow Chemical Co, misused company funds for personal benefit, according to people familiar with the matter.
A U.S. Labor Department plan to reduce conflicts with brokers who offer retirement account advice drew criticism from the chief of Wall Street's self-funded regulator on Wednesday, who said it would shift enforcement from regulators to investors.
A newly created non-profit organization sued the U.S. Securities and Exchange Commission on Wednesday in an effort to force the agency to adopt rules requiring companies to disclose political contributions.
U.S. prosecutors said Friday their efforts to extradite from Spain a former JPMorgan Chase & Co executive charged in connection with the bank's $6.2 billion "London Whale" scandal had hit a dead end.
Calpers, the largest American public pension fund, and nearly 60 other institutional investors will ask the U.S. Securities and Exchange Commission on Friday to require oil and natural gas companies to publish detailed analysis of the risks posed by climate change to their business models.
A top regulator on Tuesday said the Securities and Exchange Commission will bring more enforcement actions against companies selling complex securities and risky structured products to retail investors.
Securities and Exchange Commission Chair Mary Jo White told lawmakers on Tuesday the agency would not try anew to craft rules to make it easier for shareholders to nominate corporate directors but that she was closely watching activists' attempts to do just that.
U.S. Securities and Exchange Commission Chair Mary Jo White on Thursday defended the process her agency follows when deciding whether to grant regulatory waivers to companies that break the law, saying it is not a "knee-jerk exercise."
The U.S. Securities and Exchange Commission may strip Vanguard Group, BlackRock Inc and State Street Corp, the oldest and biggest providers of exchange-traded funds, of an advantage they hold over newer rivals in how they assemble the shares of their funds, said sources familiar with the SEC.
