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  • The SEC's Office of Inspector General started the investigation after Reuters published information about the regulator's decision, taken in a closed-door meeting on Sept. 12, 2013, to settle its probe into JPMorgan Chase& Co's massive London Whale trading loss. The SEC made its decision public on Sept. 19, 2013.

  • The broker, Michael Horowitz of Los Angeles, also admitted to wrongdoing as part of the settlement, the SEC said. Horowitz, the SEC said, recruited people to help him steal personal health information from hospice and nursing home patients so he could designate them as annuitants and sell the products to wealthy investors.

  • July 30- Oil and natural gas producer Hess Corp said it plans to form a publicly traded master limited partnership comprising its pipeline and storage assets in North Dakota's Bakken oil shale field. Hess said it expected the MLP to file a registration statement with the U.S. Securities and Exchange Commission in the fourth quarter.

  • July 30- Oil and natural gas producer Hess Corp said it plans to form a publicly-traded master limited partnership comprising its pipeline and storage assets in North Dakota's Bakken oil shale field. Hess said it expects the partnership to file a registration statement with the U.S. Securities and Exchange Commission in the fourth quarter.

  • July 29- DreamWorks Animation SKG Inc said the U.S. Securities and Exchange Commission is investigating the company's write-down of film inventory on "Turbo". DreamWorks took an impairment charge of $13.5 million, or 12 cents per share, on "Turbo" in the fourth quarter due to the poor performance of the movie, about a garden snail that races in NASCAR.

  • WASHINGTON, July 29- An attorney at the U.S. Securities and Exchange Commission who once helped craft legislative language for the "Volcker rule" and other major pieces of the 2010 Dodd-Frank financial reform law is returning to Capitol Hill.

  • July 28- Smith& Wesson Holding Corp has agreed to pay $2.03 million to settle U.S. Securities and Exchange Commission charges its employees and representatives bribed foreign officials to supply firearms to military and law enforcement departments overseas.

  • Brian Zwerner, a former manager of Bank of America's municipal derivatives desk, was sentenced to spend three years on probation and pay a $10,000 fine by U.S. According to court papers he has also agreed to pay Bank of America $890,000 and settle related U.S. Securities and Exchange Commission civil charges.

  • Citigroup unit paying $5M to settle SEC charges Friday, 25 Jul 2014 | 12:23 PM ET

    The Securities and Exchange Commission announced the settlement with Citigroup's LavaFlow Inc. on Friday. The settlement includes a $2.85 million penalty, the largest the SEC has imposed on an alternative trading system.

  • NEW YORK, July 25- A business unit of Citigroup will pay $5 million to settle civil charges that one of its private trading venues violated federal law by failing to protect clients' confidential trading data, U.S. regulators said on Friday.

  • Citigroup pays record penalty to settle SEC charges Friday, 25 Jul 2014 | 11:37 AM ET
    A man walks by the Citigroup Center in San Francisco.

    A Citigroup unit will pay $5 million to settle charges that one of its trading venues failed to protect clients' confidential trading data.

  • WASHINGTON, July 25- A business unit of Citigroup will pay $5 million to settle civil charges that one of its private trading venues violated federal law by failing to protect its clients' confidential trading data, U.S. regulators said Friday.

  • Bankrupt Energy Future to auction stake in Oncor Thursday, 24 Jul 2014 | 5:02 PM ET

    DALLAS— Bankrupt power giant Energy Future Holdings terminated its restructuring agreement and announced plans to auction its stake in the profitable power transmission business Oncor Electric Delivery Co., according to a filing Thursday with the U.S. Securities and Exchange Commission.

  • In a somewhat tense exchange at a congressional hearing, SEC Corporation Finance Director Keith Higgins and Massachusetts Democrat Stephen Lynch went back and forth over the issue, with Higgins saying the SEC does not use waiver denials to punish wrongdoers. "The SEC needs to ensure that the American people are protected from egregious conduct...

  • Morgan Stanley paying $275M to settle SEC charges Thursday, 24 Jul 2014 | 1:08 PM ET

    WASHINGTON— Morgan Stanley has agreed to pay $275 million to settle U.S. civil charges that it misled investors about risky mortgage bonds it sold ahead of the 2008 financial crisis. The SEC said Morgan Stanley failed to accurately disclose the delinquency status of home mortgages backing two securities deals that it financed and sold in 2007..

  • NEW YORK/ WASHINGTON, July 24- The U.S. Securities and Exchange Commission said on Thursday it had charged Morgan Stanley with misleading investors about two mortgage-backed securities it issued before the 2008 financial crisis, and that the bank would pay $275 million to settle the case, according to a press release.

  • Lawmaker to press SEC on Ackman's Allergan tactics Thursday, 24 Jul 2014 | 8:55 AM ET
    Pershing Square Capital Management CEO Bill Ackman speaks during an interview in New York.

    A Republican congressman will pressure the Securities and Exchange Commission for reforms after Bill Ackman's efforts to take over Allergan.

  • Republican lawmaker to grill U.S. SEC over Ackman tactics Thursday, 24 Jul 2014 | 12:01 AM ET

    WASHINGTON, July 24- A U.S. lawmaker will pressure the U.S. Securities and Exchange Commission on Thursday to consider a raft of reforms, after William Ackman's aggressive efforts to take over Allergan Inc raised concerns about loose rules governing disclosure and shareholder voting.

  • Standard & Poor's may face SEC charges over ratings Wednesday, 23 Jul 2014 | 6:52 PM ET

    In a regulatory filing, McGraw-Hill Financial Inc said it received a "Wells notice" on July 22 indicating the SEC is weighing filing civil charges for alleged securities law violations over S&P's ratings of six commercial mortgage-backed securities transactions issued in 2011..

  • SEC considering action against S&P over ratings Wednesday, 23 Jul 2014 | 5:56 PM ET

    S&P's parent McGraw Hill Financial Inc. disclosed in a regulatory filing that it has received a so-called "Wells Notice" from staff of the Securities and Exchange Commission. S&P has been cooperating with the SEC in the matter and will continue to do so, New York- based McGraw Hill said. SEC spokeswoman Gina Talamona declined to comment.