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• Mini flash crashes caused by sloppiness, not a broken market -SEC Tuesday, 18 Jun 2013 | 3:55 PM ET

  NEW YORK, June 18- Unexplained rapid price drops in single stocks have generally been triggered by human error, not nefarious trading activity or high-speed trading algorithms gone wild, an official at the U.S. Securities and Exchange Commission said on Tuesday.

• Synergy rises after chairman buys more shares Friday, 14 Jun 2013 | 4:07 PM ET

  NEW YORK-- Shares of drug developer Synergy Pharmaceuticals Inc. rose Friday after its chairman disclosed that he'd bought more of the company's stock. THE SPARK: In a form filed with the Securities and Exchange Commission, Gabriele Cerrone disclosed the purchase of 8,000 shares for $4.42 per share.

• U.S. SEC settles pricing case against Morgan Keegan fund directors Thursday, 13 Jun 2013 | 8:16 PM ET

  June 13- The U.S. Securities and Exchange Commission has settled civil charges accusing eight former directors of Morgan Keegan bond mutual funds of failing to police the portfolio managers they oversaw, allowing toxic mortgage assets to be overvalued prior to the financial crisis.

• UPDATE 2-U.S. SEC says Revlon misled shareholders in a Perelman deal Thursday, 13 Jun 2013 | 1:25 PM ET

  *SEC says Revlon hid details of proposed share swap. June 13- The U.S. Securities and Exchange Commission charged Revlon Inc with misleading shareholders about a transaction with its controlling shareholder, billionaire Ronald Perelman, and the cosmetics company agreed to pay a fine of $850,000.

• UPDATE 1-U.S. SEC charges Revlon over share swap, company to pay fine Thursday, 13 Jun 2013 | 11:28 AM ET

  *SEC says Revlon hid details of proposed share swap. The civil case stemmed from 2009, when Revlon's majority shareholder MacAndrews and Forbes Holdings Inc, controlled by billionaire Ronald Perelman, asked the company to give minority shareholders a chance to tender their common shares for preferred stock, as part of a plan to pay down Revlon debt.

• U.S. SEC charges, fines Revlon for misleading shareholders Thursday, 13 Jun 2013 | 10:55 AM ET

  June 13- The U.S. Securities and Exchange Commission on Thursday said it charged Revlon Inc with misleading shareholders about details of a "going-private" transaction, and the cosmetics and beauty care company agreed to pay a $850,000 fine.

• How Elite Traders Jump the Gun on Wall Street Thursday, 13 Jun 2013 | 7:20 AM ET

  

  Selling gun-jumping technology to Wall Street is big business for suppliers of economic data. Should it be banned?

• UPDATE 1-CBOE to settle U.S. SEC charges of regulatory failure Tuesday, 11 Jun 2013 | 2:35 PM ET

  *SEC says CBOE failed to police for short-selling abuses. *SEC says CBOE edited optionsXpress "Wells" notice reply. *CBOE says exchange is implementing remedial measures.

• Sector Snap: for-profit education companies Tuesday, 11 Jun 2013 | 1:41 PM ET

  NEW YORK-- Shares of for-profit education companies traded mostly lower on Tuesday as Corinthian Colleges Inc. disclosed that it is under investigation by the Securities and Exchange Commission. Corinthian, which runs Everest, Heald and WyoTech colleges and offers online degrees, said in a regulatory filing that it received a subpoena from the SEC on June 6.

• CBOE to pay $6 mln to settle U.S. SEC charges of regulatory failures Tuesday, 11 Jun 2013 | 12:33 PM ET

  WASHINGTON, June 11- The Chicago Board Options Exchange will pay a $6 million penalty and implement "major remedial measures" to settle civil charges alleging the exchange failed in its regulatory oversight duties and made numerous missteps in properly enforcing short sale rules, U.S. regulators said on Tuesday.

• Ahead of the Bell: Corinthian Colleges Tuesday, 11 Jun 2013 | 8:23 AM ET

  NEW YORK-- Shares of Corinthian Colleges Inc. declined in premarket trading Tuesday as the company disclosed that it is under investigation by the Securities and Exchange Commission.

• News Summary: SEC paying $580,000 to settle suit Monday, 10 Jun 2013 | 8:36 PM ET

  SEC SETTLES SUIT: The Securities and Exchange Commission is paying $580,000 to settle a lawsuit by a former assistant SEC inspector general who accused the agency of firing him in retaliation for bringing possible misconduct to light.

• UPDATE 1-Detroit adviser to return $3 million to pension fund -SEC Monday, 10 Jun 2013 | 3:35 PM ET

  *Latest federal action in corruption case of former Detroit mayor. WASHINGTON, June 10- A Detroit- based investment adviser agreed to give back $3.1 million that U.S. regulators allege he stole from a pension fund for the city's police and firefighters, the U.S. Securities and Exchange Commission said on Monday.

• Detroit adviser settles SEC charges of pension theft Monday, 10 Jun 2013 | 2:19 PM ET

  WASHINGTON, June 10- A Detroit- based investment adviser agreed to give back $3.1 million that U.S. regulators allege he stole from a pension fund for the city's police and firefighters, the U.S. Securities and Exchange Commission said on Monday.

• U.S. SEC fines optionsXpress, individuals $4.8 mln for naked short sales Monday, 10 Jun 2013 | 12:07 PM ET

  NEW YORK, June 10- A Securities and Exchange Commission judge has ordered optionsXpress, its former chief financial officer and a customer to pay a total of $4.8 million in fines and to return $4.2 million for illegally selling shares they did not hold.

• Ex-SEC investigator settles whistleblower retaliation lawsuit Monday, 10 Jun 2013 | 11:39 AM ET

  WASHINGTON, June 10- A former internal investigator at the U.S. Securities and Exchange Commission who claimed he was fired for trying to blow the whistle on possible misconduct has reached a $580,000 settlement with the SEC, his lawyer said on Monday.

• UPDATE 1-SEC charges Whittier Trust, fund manager with insider trading Friday, 7 Jun 2013 | 4:22 PM ET

  *SEC alleges ill-gotten gains by Whittier, Victor Dosti. In a complaint filed on Friday in the U.S. District Court in Manhattan, the SEC accused Whittier and Dosti of illegal trading in Dell Inc, Nvidia Corp and Wind River Systems Inc shares based on confidential tips from Danny Kuo, then a Whittier fund manager who Dosti supervised.

• Sector Snap: Real estate investment trusts Friday, 7 Jun 2013 | 3:44 PM ET

  Iron Mountain Inc., an information storage and management company, said in a Thursday Securities and Exchange Commission filing that the study could delay an IRS decision on the company's plan to become a REIT. Data center operator Equinix Inc. and Lamar Advertising Co. have also said in filings that the IRS study could affect their plans to convert into REITs.

• Judge asks U.S. SEC why it can't scale back payment disclosure rule Friday, 7 Jun 2013 | 3:09 PM ET

  They have argued the SEC should have allowed the companies to privately disclose the data to regulators, and that any public disclosure should only be made through a more general compilation, or aggregation, of the payments.

• SEC charges Whittier Trust, fund manager with insider trading Friday, 7 Jun 2013 | 2:08 PM ET

  *SEC alleges ill-gotten gains by Whittier, Victor Dosti. In a complaint filed on Friday in the U.S. District Court in Manhattan, the SEC accused Whittier and Dosti of illegal trading in Dell Inc, Nvidia Corp and Wind River Systems Inc shares based on confidential tips from Danny Kuo, a Whittier fund manager who Dosti supervised.