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  • He's also more highly paid than the chief executive of Southwest, who was recently touted by Fortune magazine as the most underrated for any industry. He also got options valued at $3.8 million, $3.1 million in incentives, a $790,625 salary and nearly $300,000 in perks, according to a filing with the Securities and Exchange Commission. Anderson was more richly...

  • Speaking at conference at Northwestern University's School of Law, White stopped short of saying whether the agency was investigating the issue, but strongly implied that the SEC is not happy about these tactics. Created by the 2010 Dodd-Frank Wall Street reform law, the program lets the SEC dole out cash awards that range between 10 percent and 30 percent of...

  • SEC pushes for display of link between pay and performance Wednesday, 29 Apr 2015 | 11:48 AM ET

    WASHINGTON— Federal regulators have taken a step toward requiring public companies to show the relationship between the compensation of their top executives and the company's financial performance. The 3-2 vote Wednesday by the Securities and Exchange Commission on the so-called "pay for performance" rules follows a 2013 proposal that would require...

  • District Judge Katherine Forrest in Manhattan said the claims raised against Nasdaq, Intercontinental Exchange Inc's New York Stock Exchange, BATS Exchange and other exchanges must be reviewed first by the U.S. Securities and Exchange Commission, not the courts. Forrest, however, said Congress created a "comprehensive federal regulatory scheme" empowering...

  • WASHINGTON, April 28- An environmental group and a law clinic have petitioned the U.S. Securities and Exchange Commission to investigate whether Royal Dutch Shell has adequately disclosed to investors the risks of oil exploration in Arctic waters, the groups said on Tuesday. While catastrophic oil spills are rare, one in the Arctic could cost $10 billion or...

  • WASHINGTON, April 28- An environmental group and a law clinic petitioned the U.S. Securities and Exchange Commission to investigate whether Royal Dutch Shell has adequately disclosed to investors the risks of oil exploration in the harsh Arctic waters, the groups said on Tuesday. Oceana, an international environmental group, and the Abrams Environmental Law...

  • April 28- The Securities and Exchange Commission is investigating whether Bank of America Corp violated customer-protection rules and put retail-brokerage funds at risk to increase profits, the Wall Street Journal reported, citing people familiar with the matter. Bank of America stopped the strategy in 2012. However, from 2009 to 2012, it completed...

  • April 28- The Securities and Exchange Commission is investigating whether Bank of America Corp violated customer-protection rules and put retail-brokerage funds at risk to increase profits, the Wall Street Journal reported, citing people familiar with the matter. Bank of America stopped the strategy in 2012. However, from 2009 to 2012, it completed...

  • Groups want review of Shell's Arctic regulatory filings Tuesday, 28 Apr 2015 | 12:43 AM ET

    ANCHORAGE, Alaska— Two groups petitioned the U.S. Securities and Exchange Commission on Monday for an investigation of Royal Dutch Shell PLC and what the groups call misstatements in regulatory filings regarding the risk of a catastrophic oil spill from Arctic offshore drilling. The petition was filed Monday by Oceana and the Abrams Environmental Law...

  • HARTFORD, Conn.— United Technologies Corp. says it's been subpoenaed by the Securities and Exchange Commission seeking documents related to alleged violations of anti-bribery laws. United Technologies says it's cooperating fully. In December 2013 and January 2014, United Technologies disclosed to U.S. and British authorities the status of its internal...

  • Issues surrounding General Motors Co.' s recall of 36 million vehicles worldwide last year for safety issues continue to haunt the company. —87: Number of deaths compensation expert Kenneth Feinberg has determined are eligible for compensation. In addition, the U.S. Attorney's Office, Congress, Securities and Exchange Commission, and Canadian safety...

  • DALLAS— The CEO of American Airlines received compensation valued at $12.3 million last year and will stop drawing a salary and instead be paid entirely in company stock. American Airlines Group Inc. disclosed his compensation and the other changes in filings with the Securities and Exchange Commission. He drew a $687,884 salary, got maximum incentive...

  • Securities and Exchange Commission Administrative Law Judge Jason Patil delivered the warning to SEC lawyers after hearing arguments in a civil proceeding against Joseph Ruggieri. Ruggieri, who traded healthcare stocks for Wells Fargo, is accused by the SEC of unlawfully trading on tips about imminent upgrades and downgrades in the ratings of various...

  • In a hearing before a Securities and Exchange Commission administrative law judge, an attorney for the Securities Industry and Financial Markets Association tried to undercut testimony from an employee at Intercontinental Exchange's NYSE Arca. At the heart of the case is a fundamental question about whether competition between NYSE and Nasdaq OMX is...

  • BlackRock to pay in SEC conflict of interest case Monday, 20 Apr 2015 | 2:23 PM ET
    BlackRock signage above building entrance in New York.

    BlackRock agreed to pay $12 million to resolve SEC charges in a conflict of interest case.

  • The U.S. Securities and Exchange Commission said Monday that BlackRock Advisors LLC breached its fiduciary duties to clients by failing to disclose that Daniel Rice, who oversaw some energy funds and separate accounts, was running a family-owned oil and natural gas company that ultimately became the largest holding of a fund he ran for BlackRock.

  • April 20- BlackRock Inc, one of the world's largest asset managers, agreed to pay $12 million to resolve U.S. Securities and Exchange Commission charges that a unit failed to disclose a conflict of interest created by the outside business activity of a top portfolio manager. The SEC on Monday said BlackRock Advisors LLC breached its fiduciary duties to clients...

  • Oil's next headache? Climate-minded investors Friday, 17 Apr 2015 | 3:00 AM ET
    The Philadelphia Energy Solutions refinery is shown Oct. 24, 2014, in Philadelphia.

    A group of investors sees a climate-related profit squeeze on oil, and they're calling for better disclosure from energy companies.

  • WILLISTON, N.D., April 17- 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. Calpers and other investors will tell the SEC...

  • First digital currency broker-dealer launches Thursday, 16 Apr 2015 | 6:10 PM ET
    People attend a bitcoin retail store opening in Hong Kong.

    Genesis Trading, which claims to be the first broker-dealer specializing in digital currencies, launched Thursday.