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  • NY Attorney General Eric Schneiderman, discusses allegations that Barclays demonstrated a disturbing disregard for "ordinary" investors and operated a "dark pool" that favored high-frequency traders.

  • WASHINGTON, June 25- The U.S. Securities and Exchange Commission voted on Wednesday to adopt the first of a series of crucial rules that lay out when foreign banks that deal in derivatives must comply with U.S. regulations.

  • June 25- The U.S. Securities and Exchange Commission unveiled a one-year "tick size" pilot program to let some stocks trade in five-cent increments instead of one-penny increments.

  • WASHINGTON, June 24- The U.S. Senate and House of Representatives have released dueling fiscal 2015 budget proposals for the country's top two financial market regulators, with Democrats seeking more funding and Republicans urging more belt-tightening and limits on how money is spent.

  • The SEC said it is examining whether material nonpublic information concerning an April 1, 2013 announcement by the Centers for Medicare and Medicaid Services of 2014 reimbursement rates for a Medicare program was leaked improperly, and whether anyone traded on that information.

  • NEW YORK, June 20- A Manhattan federal judge directed the House Ways and Means Committee and a senior staffer to appear at a July 1 hearing to address their alleged refusal to respond to U.S. Securities and Exchange Commission subpoenas into whether a leak about a healthcare policy change may have led to insider trading.

  • The Securities and Exchange Commission said that Philadelphia- based TL Ventures Inc will pay about $300,000 to settle the case without admitting or denying allegations that it continued receiving advisory fees from state and city pension funds, even after one of its associates had donated to local political candidates.

  • CNBC's Eamon Javers reports SEC Chair Mary Jo White is about to speak at the Economic Club with a focus on market structure.

  • Cybersecurity firm says large hedge fund attacked Thursday, 19 Jun 2014 | 9:05 AM ET

    BAE Systems Applied Intelligence says a large hedge fund was the victim of a sophisticated cyberattack in late 2013 before it was thwarted.

  • WASHINGTON, June 17- The U.S. Securities and Exchange Commission recently removed language from an agency policy on granting regulatory waivers after an SEC official raised concerns it implied some companies are "too big to fail."

  • 1 in 4 deals involves insider trading: Study     Tuesday, 17 Jun 2014 | 12:00 PM ET

    CNBC's Andrew Ross Sorkin provides insight to a new study which reveals just how prevalent insider trading is on Wall Street.

  • HFT hearings good for transparency: Chilton     Tuesday, 17 Jun 2014 | 10:32 AM ET

    Bart Chilton, former CFTC commissioner, shares his thoughts on the high-frequency trading hearings taking place on Capitol Hill. Chilton says these hearings will bring transparency to the markets and that's a good thing.

  • SEC makes first whistleblower retaliation charges Monday, 16 Jun 2014 | 11:55 AM ET

    A hedge fund advisory firm agreed to pay $2.2 million to settle charges that it retaliated against an employee whistleblower.

  • The company's offering of 27.8 million shares is expected to be priced at between $17 and $19 each, Michaels said in a filing with the U.S. Securities and Exchange Commission on Monday.

  • *Ross Stores' sales, Oracle purchase said to be leaked. June 13- The U.S. Securities and Exchange Commission on Friday charged four San Francisco- area men with insider trading in Ross Stores Inc stock options, and one of the four with insider trading in stock options of a company that was later bought by Oracle Corp..

  • SEC charges four in California with insider trading Friday, 13 Jun 2014 | 4:40 PM ET

    *Ross Stores' sales, Oracle purchase said to be leaked. June 13- The U.S. Securities and Exchange Commission on Friday charged four San Francisco- area men with insider trading in Ross Stores Inc stock options, and one of the four with insider trading in stock options of a company that was later bought by Oracle Corp..

  • NYT's Stewart takes up Judge Rakoff     Friday, 13 Jun 2014 | 10:01 AM ET

    James Stewart, The New York Times, discusses his column about the appeals court ruling that reversed Judge Jed Rakoff's rejection of an SEC settlement with Citigroup.

  • NEW YORK, May 30- The U.S. Federal Bureau of Investigation and the Securities and Exchange Commission are investigating possible insider trading involving billionaire investor Carl Icahn, golfer Phil Mickelson and Las Vegas gambler William Walters, a source familiar with the matter said. Spokespeople for Mickelson, the FBI and the SEC declined to comment.

  • "Given the systemic risks posed by some of the firms we regulate, I think it's about time for the SEC to revise its reasoning for imposing capital requirements," said Kara Stein, a Democratic member of the Securities and Exchange Commission, in prepared remarks.

  • Oops! Mickelson may not have traded in Clorox Thursday, 12 Jun 2014 | 6:52 AM ET

    The golfer did not trade in Clorox just as Carl Icahn was mounting an unsolicited takeover bid, say four people briefed on the matter. The NYT reports.