GO
Loading...

Enter multiple symbols separated by commas

SEC

More

  • District Judge Katherine Forrest in Manhattan said the claims raised against Nasdaq, Intercontinental Exchange Inc's New York Stock Exchange, BATS Exchange and other exchanges must be reviewed first by the U.S. Securities and Exchange Commission, not the courts. Forrest, however, said Congress created a "comprehensive federal regulatory scheme" empowering...

  • EBay split fast approaching   Wednesday, 29 Apr 2015 | 10:16 AM ET
    EBay split fast approaching

    Incoming eBay CEO Devin Wenig, discusses the future path for eBay.

  • WASHINGTON, April 28- An environmental group and a law clinic have petitioned the U.S. Securities and Exchange Commission to investigate whether Royal Dutch Shell has adequately disclosed to investors the risks of oil exploration in Arctic waters, the groups said on Tuesday. While catastrophic oil spills are rare, one in the Arctic could cost $10 billion or...

  • WASHINGTON, April 28- An environmental group and a law clinic petitioned the U.S. Securities and Exchange Commission to investigate whether Royal Dutch Shell has adequately disclosed to investors the risks of oil exploration in the harsh Arctic waters, the groups said on Tuesday. Oceana, an international environmental group, and the Abrams Environmental Law...

  • April 28- The Securities and Exchange Commission is investigating whether Bank of America Corp violated customer-protection rules and put retail-brokerage funds at risk to increase profits, the Wall Street Journal reported, citing people familiar with the matter. Bank of America stopped the strategy in 2012. However, from 2009 to 2012, it completed...

  • April 28- The Securities and Exchange Commission is investigating whether Bank of America Corp violated customer-protection rules and put retail-brokerage funds at risk to increase profits, the Wall Street Journal reported, citing people familiar with the matter. Bank of America stopped the strategy in 2012. However, from 2009 to 2012, it completed...

  • America’s highest paid CEO: It’s not who you think Tuesday, 21 Apr 2015 | 8:26 AM ET
    Nick Woodman, founder and chief executive officer of GoPro Inc.

    It's 39-year-old Nick Woodman, the CEO of camera-maker GoPro. The Fiscal Times reports.

  • Securities and Exchange Commission Administrative Law Judge Jason Patil delivered the warning to SEC lawyers after hearing arguments in a civil proceeding against Joseph Ruggieri. Ruggieri, who traded healthcare stocks for Wells Fargo, is accused by the SEC of unlawfully trading on tips about imminent upgrades and downgrades in the ratings of various...

  • In a hearing before a Securities and Exchange Commission administrative law judge, an attorney for the Securities Industry and Financial Markets Association tried to undercut testimony from an employee at Intercontinental Exchange's NYSE Arca. At the heart of the case is a fundamental question about whether competition between NYSE and Nasdaq OMX is...

  • The U.S. Securities and Exchange Commission said Monday that BlackRock Advisors LLC breached its fiduciary duties to clients by failing to disclose that Daniel Rice, who oversaw some energy funds and separate accounts, was running a family-owned oil and natural gas company that ultimately became the largest holding of a fund he ran for BlackRock.

  • April 20- BlackRock Inc, one of the world's largest asset managers, agreed to pay $12 million to resolve U.S. Securities and Exchange Commission charges that a unit failed to disclose a conflict of interest created by the outside business activity of a top portfolio manager. The SEC on Monday said BlackRock Advisors LLC breached its fiduciary duties to clients...

  • Oil's next headache? Climate-minded investors Friday, 17 Apr 2015 | 3:00 AM ET
    The Philadelphia Energy Solutions refinery is shown Oct. 24, 2014, in Philadelphia.

    A group of investors sees a climate-related profit squeeze on oil, and they're calling for better disclosure from energy companies.

  • WILLISTON, N.D., April 17- Calpers, the largest American public pension fund, and nearly 60 other institutional investors will ask the U.S. Securities and Exchange Commission on Friday to require oil and natural gas companies to publish detailed analysis of the risks posed by climate change to their business models. Calpers and other investors will tell the SEC...

  • First digital currency broker-dealer launches Thursday, 16 Apr 2015 | 6:10 PM ET
    People attend a bitcoin retail store opening in Hong Kong.

    Genesis Trading, which claims to be the first broker-dealer specializing in digital currencies, launched Thursday.

  • District Judge Richard Berman in Manhattan said Barbara Duka did not deserve a preliminary injunction because she was unlikely to succeed on the merits of her argument that SEC administrative proceedings are unconstitutional. The 2010 Dodd-Frank financial reforms gave the SEC the power to pursue more enforcement cases in-house, rather than in federal...

  • NEW YORK, April 15- A federal judge on Wednesday refused to stop the U.S. Securities and Exchange Commission from pursuing a case against a former Standard& Poor's executive over her role in an alleged fraud involving ratings for commercial mortgage-backed securities. District Judge Richard Berman in Manhattan said Barbara Duka was not entitled to a...

  • NEW YORK, April 14- Former Freddie Mac Chief Executive Officer Richard Syron and two other executives have agreed to settle a lawsuit by the U.S. Securities and Exchange Commission accusing them of misleading investors ahead of the 2008 financial crisis. Like other regulators, the SEC has been criticized for not holding enough top executives liable for...

  • Ex-Freddie Mac executives settle SEC fraud lawsuit Tuesday, 14 Apr 2015 | 1:30 PM ET

    NEW YORK, April 14- Former Freddie Mac Chief Executive Officer Richard Syron and two other one-time executives have reached a settlement in a lawsuit by the U.S. Securities and Exchange Commission accusing them of misleading investors about the company's exposure to risky mortgage loans. The settlement, disclosed in court papers filed in Manhattan federal...

  • Trian complains about executive pay at DuPont Monday, 13 Apr 2015 | 3:05 PM ET

    NEW YORK, April 13- Trian Fund Management, fighting for seats on the board at chemicals and agricultural conglomerate giant DuPont, said top company executives were still well paid last year even though the board acknowledged that the operating performance was poor. The hedge fund said in a presentation filed with the Securities and Exchange Commission on...

  • These two $1-a-year CEOs are USA's cheapest Monday, 13 Apr 2015 | 9:34 AM ET
    Richard Kinder, CEO of energy pipeline operator Kinder Morgan (L), and John Mackey, co-CEO of organic food Whole Foods (R).

    Two CEO's were paid just a buck last year – making them just two CEOs in the Standard & Poor's 500 to make that little, according to USA TODAY.