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  • SEC to issue proposal for HFT registration Wednesday, 25 Mar 2015 | 10:40 AM ET

    The SEC voted Wednesday to issue a proposal requiring proprietary high speed trading firms to register with regulators.

  • The final rule by the SEC aims to try and strike a compromise with the North American Securities Administrators Association, which has been lobbying fiercely to protect its oversight powers and has urged the federal agency not to pre-empt any of the deals from state oversight. Originally, the SEC had proposed preempting deals larger than $5 million.

  • NEW YORK, March 20- American International Group Inc shareholders won approval on Friday of a $970.5 million settlement resolving claims they were misled about its subprime mortgage exposure, leading to a liquidity crisis and $182.3 billion in federal bailouts. The U.S. Justice Department and U.S. Securities and Exchange Commission closed related probes...

  • March 20- Wal-Mart Stores Inc shareholders will vote in June at the company's annual meeting on electing an independent board chairman, after U.S. regulators rejected a request by the retailer to block the proposal. Wal-Mart had argued that the proposal, submitted by the International Brotherhood of Teamsters General Fund, should be omitted because it was...

  • The Securities and Exchange Commission rejected a request by Wal-Mart to prevent the proposal from being voted on by shareholders, according to an SEC letter delivered to the fund sponsoring the proposal on Friday.

  • NEW YORK, March 20- American International Group Inc shareholders won approval on Friday of a $970.5 million settlement resolving claims they were misled about its subprime mortgage exposure, leading to a liquidity crisis and $182.3 billion in federal bailouts. The U.S. Justice Department and U.S. Securities and Exchange Commission closed related probes...

  • The March 17 decision by the Securities and Exchange Commission, seen by Reuters Wednesday, marks a victory for Bartlett Naylor, a Bank of America shareholder who works for the non-profit Public Citizen. It also represents a reversal for the SEC, which last year rejected nearly identical resolutions filed by Naylor at Bank of America, as well as JP Morgan Chase...

  • The March 17 decision by the Securities and Exchange Commission, seen by Reuters Wednesday, marks a victory for Bartlett Naylor, a Bank of America shareholder who works for the non-profit Public Citizen.

  • White's announcement, made at a Securities Industry and Financial Markets Association conference in Arizona, mark the first time she has articulated a position on the controversial subject since taking over the helm of the SEC in the spring of 2013.. The SEC and the Labor Department are each governed by different laws and are able to act independently of one...

  • Monday's accord resolved an SEC administrative proceeding that Stilwell, 53, had challenged as unconstitutional because of how SEC law judges are appointed. The SEC said the defendants arranged about $20 million of loans among various Stilwell funds from 2003 to 2013 to further the funds' investment strategies. While all loans were repaid, the SEC said...

  • Securities and Exchange Commission Chair Mary Jo White on Thursday defended the process her agency follows when deciding whether to grant regulatory waivers to companies that break the law, saying it is not a "knee-jerk exercise." Thursday marked the first time White has publicly discussed her views on the waiver process, which came under scrutiny about a year...

  • The Securities and Exchange Commission told Citigroup, Goldman Sachs and Morgan Stanley they cannot exclude the AFL-CIO's shareholder proposal from their corporate ballots, according to copies of the letters seen by Reuters. Spokesmen for Morgan Stanley and Goldman Sachs declined to comment on the SEC's decision. "Citigroup, Goldman Sachs and Morgan...

  • UPDATE 1-Google says CFO Patrick Pichette to retire Tuesday, 10 Mar 2015 | 5:17 PM ET

    March 10- Google Inc said on Tuesday that Chief Financial Officer Patrick Pichette has announced his intention to retire, marking the latest change to the Internet company's upper ranks. Google expects to find a replacement for Pichette within six months, the company said in a regulatory filing with the U.S. Securities and Exchange Commission.

  • 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.