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  • SEC: Top fiscal priorities  Monday, 10 Nov 2014 | 9:35 AM ET

    CNBC's Mary Thompson speaks to SEC Chair Mary Jo White, about recent criticism of the SEC, Dodd-Frank regulation and the SEC's top priorities for the next fiscal year.

  • Cable stocks slide on White House statement  Monday, 10 Nov 2014 | 9:31 AM ET

    CNBC's Jim Cramer weighs in on the hit to cable stocks after President Obama made comments about net neutrality.

  • SEC seeks to double $200M damages against Wyly Friday, 7 Nov 2014 | 6:25 PM ET

    The SEC asked a judge to more than double the money Texas businessman Sam Wyly must pay.

  • Nov 7- U.S. regulators plan to allow investment management firm Eaton Vance Corp to launch a new breed of actively managed exchange-traded funds that can keep their holdings secret for months at a time, boosting Eaton Vance shares by 22 percent on Friday. In a notice published late Thursday night, the U.S. Securities and Exchange Commission said it intends to...

  • Nov 6- GT Advanced Technology Inc said the U.S. Securities and Exchange Commission has sought information from the company regarding trading of its shares dating back to January 2013. The SEC, in a letter dated Oct. 15, also asked for information on the company's sapphire business and a share offering, GT Advanced said. GT Advanced's shares surged from about $3 in...

  • Nov 6- GT Advanced Technology Inc said the U.S. Securities and Exchange Commission has sought information from the company regarding trading of its shares dating back to January 2013. The SEC, in a letter dated Oct. 15, also asked for information on the company's sapphire business and a share offering, GT Advanced said. GT, a former stock market darling and supplier...

  • UPDATE 2-Nu Skin cuts forecast, denies SEC probe Wednesday, 5 Nov 2014 | 2:14 PM ET

    Nov 5- Nu Skin Enterprises Inc cut its profit and sales forecast for the current quarter as a strong dollar compounds troubles in China, and it denied a report that it faces a U.S. regulatory investigation. "To our knowledge, the SEC has not opened a formal investigation nor made any request for the production of documents," Nu Skin Chief Executive Truman Hunt said on a...

  • Under the 2010 Dodd-Frank law, the SEC gained power to pursue more enforcement cases in-house, whereby trials are decided by staff SEC judges rather than juries. While the agency might be tempted to turn to SEC administrative judges to avoid trial defeats like in the insider trading action against billionaire Mark Cuban, the courts have "functioned very...

  • HOUSTON, Nov 4- U.S. tight oil producer SandRidge Energy Inc, already pressured by the loss of its No. 2 executive and doubts about the quality of its acreage, said on Tuesday it would delay filing quarterly results and restate previous ones because of an SEC review. News of the restatement that will go back to late 2012 sent SandRidge shares tumbling 8 percent to...

  • Exchanges including Nasdaq, Intercontinental Exchange Inc's New York Stock Exchange, Bats Global Markets and CHX Holdings Inc's Chicago Stock Exchange said they deserve "absolute immunity" because they regulate themselves, and that only the U.S. Securities and Exchange Commission could review the plaintiffs' claims. A co-defendant, Barclays Plc, said the...

  • WASHINGTON, Nov 3- Bio-Rad Laboratories will pay $55 million to end U.S. government investigations into whether it paid bribes to government officials in Russia and other countries, U.S. authorities said on Monday. The life sciences company also entered into a settlement with the Securities and Exchange Commission, which said the company's subsidiaries made...

  • Oct 31- Construction equipment company Caterpillar Inc on Friday said the U.S. Securities and Exchange Commission is investigating how it accounted for its July 2011 purchase of Bucyrus International Inc.. In its quarterly report, Caterpillar said the Sept. 10 subpoena from the SEC seeks information about its accounting for goodwill relating to the $7.6...

  • NEW YORK, Oct 30- The U.S. Securities and Exchange Commission wants to make its $602 million settlement with SAC Capital Advisors hedge fund available to people who say they are victims of illicit trading by a former SAC portfolio manager, according to a lawyer representing them. District Judge Victor Marrero, who is presiding over the SEC's case, must still...

  • Steven Sands and Martin Sands, the firm's co-founders, and Chief Operating Officer and Chief Compliance Officer Christopher Kelly were responsible for the company's failures to comply with the custody rule, the SEC said. Sands Brothers and the two co-founders were previously sanctioned by the SEC in 2010 for custody rule violations. The company was at least...

  • SEC speedy access  Wednesday, 29 Oct 2014 | 12:48 PM ET

    The WSJ reported on academic studies which have found a time lag between when important SEC filing documents are posted and when the same information is sold to private subscribers. CNBC's Eamon Javers has the details.

  • The SEC is pursuing three overlapping insider-trading investigations involving CMS, the report said, adding that one of the cases involves the Federal Bureau of Investigation. In one probe, the SEC is examining whether any agency officials tipped off policy research firm Marwood Group LLC about CMS's review of Dendreon Corp's prostate cancer treatment...

  • Including the general partner's money in the average net returns can inflate the fund's average net performance figure, and the SEC is investigating whether private equity fund managers properly disclose whether they are doing that or not, the sources said. An SEC spokeswoman declined to comment. The SEC's focus on the average net IRR disclosures, which has...

  • NEW YORK, Oct 28- The U.S. and Securities Exchange Commission on Tuesday added more than a dozen relatives of Texas businessmen Sam and Charles Wyly to a long-running securities fraud lawsuit against the brothers to bolster its efforts to collect some $300 million. The filing was expected, as the SEC and the relatives continue to dispute whether hundreds of...

  • Oct 27- BlackRock is lowering the fees on three of its bond funds, including its $4 billion Total Return Fund, according to a filing with the Securities and Exchange Commission Monday morning. BlackRock's move comes just weeks after the departure of Bill Gross from Pacific Investment Management Co.. "BlackRock regularly evaluates fund fees and expenses to...

  • Oct 27- BlackRock is lowering the fees on its Total Return Fund, Low Duration Fund and Core Bond Fund, according to a filing with the Securities and Exchange Commission Monday morning. "BlackRock regularly evaluates fund fees and expenses to ensure that they remain competitive as the marketplace evolves," a spokeswoman said in a statement. "By implementing the new...