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  • NEW YORK, May 22- Citigroup said on Friday it is selling its margin foreign exchange business, including the CitiFX Pro and TradeStream platforms to U.S.-based FXCM and Danish investment bank SAXO Bank. FXCM filed an 8 K form with the U.S. Securities and Exchange Commission that the company would "assume the vast majority of margin forex accounts of CitiFX Pro...

  • Her statement comes just one day after the SEC gave JP Morgan Chase& Co, Citigroup Inc, UBS AG, Barclays Plc and the Royal Bank of Scotland Group Plc a series of waivers to let them continue their usual securities business. But all the banks won SEC waivers to let them continue being "well-known seasoned issuers" or WKSIs- a status that lets them raise capital quickly...

  • An SEC statement said Gray Financial Group steered public pension fund clients into an investment fund that did not comply with state law and collected more than $1.7 million as a result. The SEC said the investments violated Georgia law because they did not have at least four other investors and did not have a minimum of $100 million in assets.

  • Atlanta firm charged by SEC over public pension funds Thursday, 21 May 2015 | 11:35 AM ET

    WASHINGTON, May 21- The U.S. Securities and Exchange Commission on Thursday announced fraud charges against an Atlanta- based investment advisory firm and two of its executives for their handling of the city's pension funds for police, firefighters, transit workers and other employees.

  • NEW YORK— BHP Billiton has agreed to pay $25 million to settle Securities and Exchange Commission charges that it violated anti-bribery laws by failing to have a proper system in place to prevent the risk of bribery when it paid for trips of 60 government officials to the 2008 Beijing Olympic Games. The SEC said the mining company brought 60 government...

  • According to the SEC, BHP ultimately paid for 60 guests and some spouses and guests to attend, mainly from Africa and Asia. "BHP Billiton recognized that inviting government officials to the Olympics created a heightened risk of violating anti-corruption laws, yet the company failed to implement sufficient internal controls to address that heightened risk,"...

  • May 20- BHP Billiton has agreed to pay $25 million to settle U.S. regulatory charges that it improperly sponsored the attendance of foreign government officials at the 2008 Summer Olympics in Beijing. The U.S. Securities and Exchange Commission accused BHP of violating the Foreign Corrupt Practices Act, a U.S. anti-bribery law, by enabling foreign government...

  • Chaired by Treasury Secretary Jack Lew, its membership is comprised of the top U.S. regulators including Federal Reserve Chair Janet Yellen and Securities and Exchange Commission Chair Mary Jo White. The FSOC's report comes just one day before the SEC is slated to propose rules that would require mutual funds and other asset managers to report more details...

  • NEW YORK, May 15- Hedge fund Paulson& Co kept its stakes unchanged in most of its gold investments in the first quarter, when the precious metal's price pared its gains, a filing with the U.S. Securities and Exchange Commission showed on Friday. The New York- based fund, led by longtime gold bull John Paulson, kept his shares in SPDR Gold Trust, the world's largest...

  • NEW YORK, May 15- Hedge fund Paulson& Co kept its stake unchanged in the gold-backed exchange-traded fund SPDR Gold Trust for a sixth consecutive quarter in the first quarter of 2015, a filing with the U.S. Securities and Exchange Commission showed on Friday.

  • NEW YORK, May 15- Soros Fund Management LLC kept its stake unchanged in Market Vectors Gold Miners exchange-traded fund in the first quarter of 2015, compared with the fourth quarter of 2014, a filing with the U.S. Securities and Exchange Commission showed on Friday.

  • Easy access to Edgar database? Uh-oh   Friday, 15 May 2015 | 4:00 PM ET
    Easy access to Edgar database? Uh-oh

    A look into the fake bid for Avon, with CNBC's Eamon Javers and David Kotz, former SEC Inspector General.

  • Red flags at Vipshop?   Friday, 15 May 2015 | 12:32 PM ET
    Red flags at Vipshop?

    Vipshop released a statement saying the company has and will always endeavor to be in compliance with applicable U.S. and PRC laws and regulations. Ron Geffner, Sadis & Goldberg Partner and former SEC Enforcement attorney, provides perspective.

  • SEC examines phony Avon bid   Friday, 15 May 2015 | 10:14 AM ET
    SEC examines phony Avon bid

    Inside the process of how a fake bid for Avon Products could have been filed, with CNBC's Eamon Javers.

  • Avon shares soar after fake bid   Friday, 15 May 2015 | 7:00 AM ET
    Avon shares soar after fake bid

    An apparently fake bid for Avon is reportedly being reviewed by the SEC.

  • Fake Avon takeover bid is 'a cautionary tale' Thursday, 14 May 2015 | 3:22 PM ET
    Avon headquarters in New York.

    On Thursday a fake bid to acquire Avon sent shares surging but this type of stock manipulation is nothing new.

  • Correction: ITT Educational-Fraud Charges story Thursday, 14 May 2015 | 3:01 PM ET

    In a story May 12 about the Securities and Exchange Commission filing fraud charges against ITT Educational Services, The Associated Press erroneously spelled the last name of ITT's CEO the first reference. ITT Educational faces SEC charges of student loan cover-up. The SEC case in Indiana federal court alleges ITT tried to cover up troubles that began to...

  • WASHINGTON, May 14- Nationwide Life Insurance Co will pay $8 million to settle charges that it allegedly violated pricing rules in how it processed purchases and redemptions in variable insurance and mutual fund products, U.S. regulators said on Thursday. The Securities and Exchange Commission said the company is settling the charges without admitting or...

  • Nationwide settles SEC charges over pricing Thursday, 14 May 2015 | 12:54 PM ET
    SEC Securities and Exchange Commission

    Nationwide will pay $8 million to settle charges that it allegedly violated pricing rules in how it processed purchases and redemptions.

  • The bid for Avon that apparently was not Thursday, 14 May 2015 | 12:44 PM ET

    Shares of Avon jumped as much as 20 percent after the takeover offer appeared on the website maintained by the Securities and Exchange Commission, a regulator that oversees stock markets. A company calling itself PTG Capital Partners said in a document filed with the SEC that it would pay $8 billion for Avon, an enormous premium for investors in the cosmetic...