Topic: SEC

Former SEC Attorney: Can Drive A Truck Through the Openings in 'The Stock Act'   Read More

Companies can’t hype IPOs before they happen. Neither can the underwriters. Then there is Felix Investments, a small New York investment firm.    Read More

Wall Street is about to make $100 million thanks to a once obscure law passed nearly 50 years ago.    Read More

The three hedge fund executives federal authorities arrested Wednesday have something in common: SAC Capital.    Read More

The Securities and Exchange Commission has changed the language it will use in settlement agreements, eliminating the familiar "neither admit nor deny" that has shielded many a firm from civil lawsuits. But the change will only apply to defendants whose guilt has already been established in a criminal proceeding, where a higher standard of proof is required than in civil courts.   Read More

Don’t worry, corporate America. When you settle your case with the Securities and Exchange Commission you will almost certainly be able to say you “neither admit nor deny” the securities law violations of which you were accused.   Read More

Should the Securities and Exchange Commission and the Federal Bureau of Investigations really pursue insider trading with the same tactics they use in pursuit of gangsters?    Read More

One reason to suspect that the six executives from Fannie Mae and Freddie Mac will not settle with the SEC any time soon: they are not paying their own legal bills.    Read More

While everyone has been talking about the lawsuits filed by the Securities and Exchange Commission’s case against former Fannie Mae and Freddie Mac executives, a different lawsuit filed today has been largely overlooked.    Read More

Inside Fortress Investor Group, many are speculating CEO Daniel H. Mudd may step aside soon because of new SEC charges from his tenure at Fannie Mae.    Read More