Here's why SEC commissioner Michael Piwowar plans to vote against the Volcker Rule.» Read More
Former SEC Chair Mary Schapiro discusses whether capital markets are more transparent today than they were 5 years ago, derivatives regulation and Mark Cuban's take on the SEC.
Former SEC Chair Mary Schapiro shares her opinion on her successor Mary Jo White's "tough cop" image, as well as her confidence in the agency.
SAC Capital could reach an agreement with Federal prosecutors as early as this week, reports CNBC's Kate Kelly. In the wake of a settlement, SAC must either become a family office, or close down entirely.
SAC Capital Advisors is near a settlement deal with U.S. prosecutors which would force the fund to close or become a family office, reports CNBC's Kate Kelly with the latest details.
WASHINGTON, Oct 25- A proposal that would require stock exchanges to be better equipped to handle market disruptions does not go far enough to hold senior officials accountable for failures, Securities and Exchange Commission member Luis Aguilar said on Friday. The SEC proposed in March the "Regulation Systems Compliance and Integrity," or Reg SCI.
WASHINGTON, Oct 25- The U.S. Securities and Exchange Commission should not waste time drafting rules to force companies to disclose information like campaign contributions or government payments for energy projects, a top SEC official said Friday.
WASHINGTON, Oct 25- The U.S. Securities and Exchange Commission should not waste time drafting rules to force companies to disclose information like campaign contributions or government payments for energy projects, a top SEC official said Friday. The SEC did not appeal the decision, saying instead it would rewrite the rule.
Oct 24- The U.S. Securities and Exchange Commission is investigating U.S. mutual funds with holdings in Puerto Rico debt, The Bond Buyer reported on Thursday. So-called limited scope examinations are being carried out by the SEC as Puerto Rico bond prices have plummeted this year, according to the publication.
"This SEC insider trading case was personal," says Dallas Mavericks owner and Chairman of AXS TV Mark Cuban, after being acquitted. "I didn't settle because I did nothing wrong," he adds.
Crowdfunding is a way to raise money for a business venture or a cause by asking people to contribute money, usually online.
The U.S. Securities and Exchange Commission said that Modern Portfolio Management Inc., Equitas Capital Advisers LLC, and Equitas Partners LLC would each pay financial penalties and hire compliance consultants to resolve the charges.
The Securities and Exchange Commission is proposing placing limits on how much a company can raise and how much people can donate with crowdfunding.
WASHINGTON, Oct 23- The U.S. Securities and Exchange Commission voted unanimously to seek public comments on a new proposal that would permit entrepreneurs to use solicit small investments over the Internet from the general public through "crowdfunding."
Oct 23- U.S.-based exchange operators BATS Global Markets and Direct Edge said on Wednesday their proposed merger has been cleared by the U.S. Department of Justice. The companies, which together would represent the No. 2 U.S. equities exchange, said they will now focus on earning approval from the U.S. Securities and Exchange Commission.
The SEC is looking to allow crowdfunding but will be limiting size and amount to protect investors, reports CNBC's Eamon Javers.
Anthony Polini, Raymond James, shares his thoughts on whether the big bank is likely to be hit with additional litigation down the road and its impact on the stock.
Eric Wasserstrom, SunTrust Robinson Humphrey analyst, provides insight on the future of the big bank's stock, despite pending litigation.
The major bank has tentatively agreed to settle with the government over mortgage-backed securities that plummeted in value during the housing crash, reports CNBC's Kate Kelly.
The major bank has tentatively agreed with the basic elements of the pact with the government, reports CNBC's Kate Kelly.
The plan, which would give the SEC more information about the private securities market, aims to offset concerns about lifting an 80- year-old ban on general advertising to allow hedge funds and others to use the Internet, radio or television to reach investors.