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  • 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.

  • 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...

  • 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..

  • U.S. SEC weighs filing charges against S&P Wednesday, 23 Jul 2014 | 5:54 PM ET

    McGraw Hill said it received a "Wells Notice" from the U.S. Securities and Exchange Commission, alleging violations of federal securities laws by Standard& Poor's related to the ratings. S&P has been cooperating with the SEC, McGraw Hill said. McGraw Hill shares closed at $83.11 on the New York Stock Exchange on Wednesday.

  • SAFT ON WEALTH-New money fund rules keep illusions alive Wednesday, 23 Jul 2014 | 3:59 PM ET

    The Securities and Exchange Commission on Wednesday adopted new rules aimed at forestalling runs on money market funds, notably one which will force' prime' institutional funds to allow their value to float.

  • July 23- The U.S. Securities and Exchange Commission has approved a new brokerage industry rule to ban dispute settlements between securities firms and investors that require investors to agree to erase complaints from brokers' public records.

  • July 23- The U.S. Securities and Exchange Commission has approved a new brokerage industry rule to ban dispute settlements between securities firms and investors that require investors to agree to erase complaints from brokers' public records.

  • SEC adopts money market reforms in 3-2 vote Wednesday, 23 Jul 2014 | 12:02 PM ET

    The SEC adopted rules designed to curb the risk of investor runs on money market funds.

  • This stock soared 300%, but options smell 'fishy' Wednesday, 23 Jul 2014 | 9:45 AM ET

    Puma Biotechnology's experimental breast cancer drug met its main goal in a late-stage trial, but the options market is sensing something funky.

  • U.S. SEC poised to adopt reforms for money market funds Wednesday, 23 Jul 2014 | 12:01 AM ET

    The reform will impact a wide variety of asset managers, from Blackrock Inc, Fidelity and Vanguard to Charles Schwab Corp, Pimco and Federated Investors Inc.. The two-pronged reform for the $2.6 trillion industry comes after a long battle between the SEC, the industry and federal banking regulators.

  • WASHINGTON, July 22- The U.S. Chamber of Commerce made a last-ditch plea on Tuesday to federal securities regulators, urging them not to adopt rules that will change how some money market funds are valued and could cause companies to park their cash elsewhere.

  • WASHINGTON, July 21- The U.S. Securities and Exchange Commission on Monday announced it has tapped a University of Florida professor to serve as the agency's new chief economist.

  • Alibaba IPO may benefit scions of Chinese leaders Monday, 21 Jul 2014 | 8:45 AM ET
    Alibaba founder Jack Ma.

    The political connections of investors raise questions about Alibaba as it prepares to go public in the U.S. The New York Times reports.

  • Court denies payout to Ponzi scheme victims Friday, 18 Jul 2014 | 6:47 PM ET
    Financier R. Allen Stanford arriving at the Bob Casey Federal Courthouse in Houston, Texas, U.S., on Monday, March 5, 2012 (file photo)

    A federal appeals panel has denied the SEC's bid to force the SIPC to help cover the losses of thousands of victims in the Stanford Ponzi scheme.

  • Tipster on the Hill?     Friday, 18 Jul 2014 | 2:12 PM ET

    The SEC is expanding an insider trading investigation which may have started with congressional staffers. CNBC's Eamon Javers reports the details.

  • Court deals blow to Stanford Ponzi scheme victims Friday, 18 Jul 2014 | 12:09 PM ET
    Indicted financier R. Allen Stanford exits the Bob Casey Federal Courthouse in Houston, Texas.

    A U.S. court ruled that victims of Allen Stanford's Ponzi scheme are not eligible under federal law to file claims seeking compensation.