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  • AOL co-founder: Angels, bubbles & caution are key Friday, 6 Mar 2015 | 5:29 PM ET
    Forerunner of the Internet: AOL's co-founder Steve Case

    AOL co-founder Steve Case gives his full view on where today's market stands and whether there really is a tech bubble.

  • WASHINGTON, March 4- A top U.S. regulator is calling for new rules for brokers who make markets in over-the-counter microcap stocks, saying the current regulations are lax and may lead to poor-quality pricing. Luis Aguilar, a Democratic member of the Securities and Exchange Commission, urged consideration of the reforms during a meeting on Wednesday of a...

  • BOSTON, March 4- Mutual fund companies, including No. 2 Fidelity Investments, have slashed fees on their most popular funds by shifting billions of dollars into collective trusts not regulated by the U.S. Securities and Exchange Commission. "CITs are more opaque to the outside world because reporting requirements are not as stringent," said Michael Rawson,...

  • NEW YORK, March 2- The U.S. Securities and Exchange Commission may strip Vanguard Group, BlackRock Inc and State Street Corp, the oldest and biggest providers of exchange-traded funds, of an advantage they hold over newer rivals in how they assemble the shares of their funds, said sources familiar with the SEC. To do that, the SEC has said the securities used to create...

  • SEC probes companies' treatment of whistleblowers - WSJ Wednesday, 25 Feb 2015 | 11:16 PM ET

    The inquiries come as SEC officials have expressed concern about a possible corporate backlash against whistleblowers, the newspaper said. It couldn't be determined how many or which companies were sent the letters or what penalties the SEC could potentially levy in the probe, the Journal said. The 2010 Dodd-Frank Wall Street reform law gave the SEC the power...

  • Feb 23- First Solar Inc and SunPower Corp said they were in advanced talks to form a joint venture, which will hold some of their power-generating assets. The solar companies said they intend to file with the U.S. Securities and Exchange Commission for an initial public offering of limited partner interests in the "yield co.". First Solar's shares rose 10.4 percent,...

  • A rare glimpse into how Nasdaq polices markets Monday, 23 Feb 2015 | 1:03 PM ET
    Nasdaq market

    Nasdaq granted CNBC rare all-day access at its Rockville, Maryland, facility to see how its analysts police the markets in real time.

  • There have been venture exchanges approved by the SEC before, "White told reporters on the sidelines of the Practicing Law Institute's SEC Speaks conference. Although Congress passed a law in 2012 designed to help small companies raise capital and go public by easing certain burdens, many say the measures fall short and that more must be done.

  • Gray Financial Group Inc and its top two executives have been the targets of an SEC investigation since at least August 2013, according to a complaint they filed in U.S. District Court for the Northern District of Georgia, but the agency has not yet filed a formal enforcement case. It said SEC officials have told Gray that it plans to file an administrative...

  • "I believe that a retrospective review is overdue," Mike Piwowar, a Republican member of the Securities and Exchange Commission, said. Piwowar's comments came at an SEC roundtable convened to explore bolstering the shareholder voting processes and retail participation. Later that year, the SEC made the rules mandatory without waiting to study the impact of the...

  • NEW YORK, Feb 17- Warren Buffett's Berkshire Hathaway Inc on Tuesday disclosed a new stake in agricultural and construction equipment maker Deere& Co, one of a handful of changes in its stock holdings during the fourth quarter. Berkshire reported a 17.1 million-share stake, according to a U.S. Securities and Exchange Commission filing that detailed its...

  • MEXICO CITY, Feb 17- Mexican billionaire Carlos Slim and his family reduced their exposure to Argentine energy company YPF last year, selling just over 10 million shares, according to a filing with the U.S. Securities and Exchange Commission on Tuesday. The businessman, his family and their companies now directly and indirectly hold 22,070,000 YPF shares,...

  • SAN FRANCISCO, Feb 13- Alibaba Group Holding Ltd said on Friday it was asked by the U.S. Securities and Exchange Commission for information about its dealings with a Chinese regulator, coming just five months after the company's stock market debut. The SEC's request follows an unusually public fracas between Alibaba and China's State Administration for...

  • Alibaba: SEC asking about Chinese regulators Friday, 13 Feb 2015 | 4:58 PM ET
    Inside Alibaba Group Holdings headquarters.

    Chinese e-commerce giant Alibaba said it is talking with the U.S. SEC about its dealings with Chinese regulators and more.

  • NEW YORK, Feb 11- An administrative judge signaled on Wednesday that he may dismiss U.S. Securities and Exchange Commission charges against two former Wells Fargo& Co employees following a appellate court ruling limiting the reach of insider trading laws. Citing the ruling by the 2nd U.S. Circuit Court of Appeals in New York, Patil ordered the SEC to provide...

  • GE's move, disclosed in a filing with the U.S. Securities and Exchange Commission on Wednesday, comes at a time when regulators at the SEC are starting to more closely scrutinize proxy reforms in general. Several years ago, the SEC under then-chair Mary Schapiro adopted rules requiring public companies to let shareholders nominate directors to corporate...

  • Teva's internal investigation finds possible corruption Wednesday, 11 Feb 2015 | 3:05 PM ET

    Feb 11- Israeli drugmaker Teva Pharmaceutical Industries Inc said it found some business practices and transactions could violate the U.S. The possible violations were in Russia and some other countries it did not identify in Europe, Latin America and elsewhere, Teva said in a filing with the U.S. Securities and Exchange Commission. Teva's U.S.-listed shares...

  • Ex-S&P exec urges U.S. judge to block SEC case Wednesday, 11 Feb 2015 | 2:27 PM ET

    A lawyer for Barbara Duka, who helped oversee S&P's ratings of commercial mortgage-backed securities, told a Manhattan federal judge that Duka would suffer irreparable harm to her career and would face fines if the SEC pursues in-house administrative proceedings against her. The SEC has increasingly been challenged in federal court over its use of...

  • Insiders bail on stock market after earnings Wednesday, 11 Feb 2015 | 11:12 AM ET
    Traders on the floor of the New York Stock Exchange.

    Insider selling jumped in the last week as executives looked to cash in on their companies after earnings came out.

  • Saba Software to be taken private by Vector Capital Tuesday, 10 Feb 2015 | 6:23 PM ET

    Feb 10- Enterprise software provider Saba Software Inc, whose chief executive and other executives recently settled charges of accounting fraud, said private equity firm Vector Capital would take it private for about $268 million in cash. The Securities and Exchange Commission said earlier on Tuesday that two former Saba chief financial officers agreed to...