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  • 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.

  • Why CYNK is different from ‘Wolf of Wall Street’ Monday, 14 Jul 2014 | 9:17 AM ET
    The reflection of a trader working is seen on a monitor on the floor of the New York Stock Exchange (NYSE) in New York.

    As the SEC investigates CYNK Technology, the days of boiler rooms and high-pressured telemarketing are gone. There is a new pump and dump.

  • The lawsuit, filed in U.S. District Court in Manhattan, claims that shareholders suffered losses after Lions Gate, which also produces TV shows such as "Mad Men," on March 13 agreed to pay $7.5 million and admit wrongdoing to settle the probe by the U.S. Securities and Exchange Commission.

  • Shareholders sue Lions Gate over SEC probe Friday, 11 Jul 2014 | 5:53 PM ET
    Carl Icahn

    The lawsuit claims shareholders suffered losses after Lions Gate agreed to pay $7.5 million and admit wrongdoing to settle an SEC probe.

  • July 11- U.S. regulators on Friday suspended trading in Cynk Technology Corp, citing possible market manipulation in the one-time penny stock whose market value rocketed within weeks from less than $20 million to more than $6 billion.

  • Those who shorted CYNK forced to watch and wait Friday, 11 Jul 2014 | 4:13 PM ET

    While the feds investigate CYNK Technology, the traders involved in the company are frozen, and maybe out of luck.

  • SEC on to CYNK Technologies     Friday, 11 Jul 2014 | 2:48 PM ET

    The SEC has halted shares of CYNK Technologies temporarily, after the stock took off in the past month. Former federal prosecutor Joel M. Cohen, and CNBC's Herb Greenberg, discuss what the SEC will investigate, and what will happen to the investors' money if it is indeed fraudulent.

  • Steven Cohen writes big check to Uncle Sam Friday, 11 Jul 2014 | 8:04 AM ET
    Steven A. Cohen

    Cohen proved to be a stickler for the letter of the law when it came to paying the criminal penalty imposed on his former hedge fund. The NYT reports.

  • Ponzi lives: Pro jocks, grannies get ripped off Friday, 11 Jul 2014 | 7:41 AM ET
    Bernard Madoff walks out of federal court after a bail hearing in New York on Jan. 5, 2009.

    Despite the publicity from the Madoff case, regulators say a new Ponzi scheme operator is found nearly every week. The NYT reports.

  • Santelli Exchange: SEC intimidation     Wednesday, 9 Jul 2014 | 10:50 AM ET

    CNBC's Rick Santelli speaks to Nelson Obus, Wynnefield Capital, about his op-ed on regulatory overreach and intimidation by the SEC. Obus says the SEC has "gone beyond rational" and hurts small businesses and the economy.