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SAC said it may not be able to provider investors with frequent updates regarding the government insider-trading probe but there will be "more clarity" soon.
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An independent review is needed following Bloomberg's data terminal breach, former SEC Chairman Harvey Pitt tells CNBC.
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John Reed Stark, Strosz Friedberg managing director, discusses the fallout following a data breach found at Bloomberg. (Disclosure: Bloomberg is a competitor of CNBC in reporting and distributing business news on the Web and on television.)
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A controversial privacy breach involving Bloomberg data terminals has Wall Street & Washington buzzing. CNBC's Kayla Tausche looks into which firms are crying foul; and CNBC's Steve Liesman reports the Fed and Treasury Department are investing which top officials may have been tracked. (Disclosure: Bloomberg is a competitor of CNBC in reporting and distributing business news on the Web and on television.)
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WASHINGTON, May 10- The U.S. Securities and Exchange Commission's top trial lawyer, who is slated to try one of the agency's highest-profile cases stemming from the financial crisis, is testing the waters for prospective employment at leading law firms, three people familiar with the matter said.
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Billionaire Falcone and his hedge fund, Harbinger Capital Partners, have agreed to pay $18 million to settle two lawsuits brought by the U.S. Securities and Exchange Commission, according to a filing by Harbinger Group Inc, a publicly traded investment company where Falcone is chairman and chief executive officer.
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WASHINGTON, May 9- A top official at the U.S. Securities and Exchange Commission is leaving the agency to become chief compliance officer of Prudential Financial Inc's mutual fund arm, the SEC and Prudential announced on Thursday.
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Falcone and his hedge fund, Harbinger Capital Partners, have agreed to pay $18 million to settle two lawsuits filed by the U.S. Securities and Exchange Commission, according to a filing by Harbinger Group Inc, a publicly traded investment company where Falcone is chairman and chief executive officer.
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The tentative agreement still needs approval of the SEC commissioners and court, reports CNBC's Kate Kelly.
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Falcone and his hedge fund, Harbinger Capital Partners, have agreed to pay $18 million to settle two lawsuits brought by the U.S. Securities and Exchange Commission, according to a filing by Harbinger Group Inc, a publicly traded investment company where Falcone is chairman and chief executive officer.
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SAN FRANCISCO, May 8- CBOE Holdings Inc expects to be fined as much as $10 million to resolve a probe by federal authorities into its duties as a self-policing organization.
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May 8- JPMorgan Chase& Co said the company and some of its personnel face a possible enforcement action by the Federal Energy Regulatory Commission over bidding practices in certain markets. The company included the disclosure in a quarterly filing with the U.S. Securities and Exchange Commission on Wednesday.
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SAN FRANCISCO, May 8- CBOE Holdings Inc expects to be fined as much as $10 million to resolve a probe by federal authorities into its duties as a self-policing organization. It also expects any settlement to require it to beef up its compliance and regulatory programs, CBOE said in its quarterly filing with the U.S. Securities and Exchange Commission.
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Former Enron CEO Jeffrey Skilling would be out of prison in 2017—more than 10 years early—under a proposed sentencing agreement submitted to a judge in Houston.
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Exchanges and broker dealers are developing a plan to prevent the next Knight Trading catastrophe.
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MEXICO CITY, May 7- The family that holds a large stake in Mexican homebuilder Homex has been selling shares to meet margin calls on loans, according to a U.S. regulatory filing. The De Nicolas family's stake in the company shrank to 22.57 percent on May 3 from 27.53 percent last month, according to a filing with the U.S. Securities and Exchange Commission.
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WASHINGTON, May 7- Staff at the U.S. Securities and Exchange Commission have circulated a long-awaited draft proposing new reforms for the $2.6 trillion money market fund industry, people familiar with the matter told Reuters.
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MEXICO CITY, May 7- The family that holds a large stake in struggling Mexican homebuilder Homex has been selling shares to meet margin calls on loans, according to a U.S. regulatory filing. The De Nicolas family's stake in the company shrank to 22.57 percent on May 3 from 27.53 percent last month, according to a filing with the U.S. Securities and Exchange Commission.
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WASHINGTON, May 7- The new head of the U.S. Securities and Exchange Commission defended on Tuesday the agency's policy of letting firms settle civil charges without admitting or denying them, but also pledged to review the practice. The practice has come under fire from some federal judges and lawmakers who argue the SEC should insist on an admission of guilt.
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The city did not pay any monetary penalty as part of the settlement and the SEC did not name any particular individuals. She declined to say whether the SEC will consider charging any individuals in the Harrisburg case.
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The city did not pay any monetary penalty as part of the settlement and the SEC did not name any particular individuals. She declined to say whether the SEC will consider charging any individuals in the Harrisburg case.