GO
Loading...

SEC

More

  • 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.

  • July 18- General Electric Co's credit card unit, Synchrony Financial, said it expects to raise up to $3.25 billion in a public offering of shares, in what is expected to be the biggest U.S. The offering of 125 million shares is expected to be priced at between $23 and $26 per share, the company said in a filing with the U.S. Securities and Exchange Commission on Friday.

  • WASHINGTON, July 18- A U.S. appeals court dealt a blow to the victims of Allen Stanford's Ponzi scheme on Friday, ruling that they are not eligible under federal law to file claims seeking compensation for their losses. The decision by the U.S. Court of Appeals for the District of Columbia Circuit also marks a major loss for the Securities and Exchange Commission.

  • The company said it expects to price the offering of 125 million shares at between $23 and $26 per share, the company said in a filing with the U.S. Securities and Exchange Commission on Friday.

  • NEW YORK, July 17- The U.S. Securities and Exchange Commission has been seeking information on 10 registered broker dealers as part of an ongoing investigation into high-frequency trading strategies, according to an internal SEC document reviewed by Reuters.

  • NEW YORK, July 17- The U.S. Securities and Exchange Commission and Rengan Rajaratnam, the younger brother of convicted Galleon Group founder Raj Rajaratnam, on Thursday asked a judge to stay the regulator's civil lawsuit for 60 days while they try to reach a deal.

  • U.S. SEC scuttles Nasdaq options rebate plan Thursday, 17 Jul 2014 | 12:18 PM ET

    NEW YORK, July 17- The U.S. Securities and Exchange Commission has denied a plan by Nasdaq OMX Group Inc to offer rebates to some of the biggest customers of one of its options exchanges, based on the amount of trading they do across all three of Nasdaq's options markets.

  • Alibaba said to launch IPO after Labor Day Thursday, 17 Jul 2014 | 11:00 AM ET
    Alibaba headquarters is shown in Hangzhou, Zhejiang Province, China.

    The company is now planning to price its IPO sometime after Labor Day, a person briefed on the matter said on Thursday. The New York Times reports.

  • WASHINGTON, July 16- The U.S. Securities and Exchange Commission announced late Wednesday it will meet July 23 to vote on final rules aimed at reducing investor risk in money market mutual funds. The SEC did not disclose details on how the rule will look. The SEC also said it will repropose a set of money fund rules that reference credit ratings.

  • BlackRock trounces analysts' profit estimates Wednesday, 16 Jul 2014 | 9:32 AM ET
    BlcakRock's offices in New York City

    BlackRock delivered quarterly earnings that topped analysts' expectations on Wednesday.`

  • WASHINGTON, July 15- A Republican member of the U.S. Securities and Exchange Commission slammed the Federal Reserve and a council of financial regulators on Tuesday, accusing them of a power grab on everything from asset managers to high-speed trading.

  • WASHINGTON, July 15- The U.S. stock market regulator should eliminate two pricing models that can create conflicts of interests for brokers, the head of a powerful Senate panel wrote in a letter released on Tuesday.

  • Lawsuit alleges Madoff sons knew of fraud Tuesday, 15 Jul 2014 | 2:26 PM ET
    Bernard Madoff in 2009

    New allegations say that Bernie Madoff's sons knew much more about their father's Ponzi scheme than they originally claimed.

  • WASHINGTON, July 15- A member of the U.S. Securities and Exchange Commission is vowing to defend the regulator's turf against what he said is growing encroachment by the Federal Reserve and a council of financial regulators on everything from asset manager regulation to high-speed trading.

  • WASHINGTON, July 14- Accounting giant Ernst& Young will pay $4 million to settle civil charges that it violated auditor independence rules after one of its units lobbied congressional staffers on behalf of audit clients, U.S. regulators said Monday.