Topic: SEC

U.S. authorities are ratcheting up their investigation of residential mortgage-backed securities — the bundles of mortgages that were at the heart of the 2008 financial crisis. And they are appealing to the public for help.

Former Goldman Sachs board member Rajat Gupta's insider trading trial began on Monday with the government saying it would call a former top Goldman banker and a current board member as two of its first witnesses.

The Securities and Exchange Commission has been getting tougher on insider trading on Wall Street, but its potential target may be too wide, The New York Times reports.

Soon after lawmakers finished work on new financial regulations, JPMorgan lobbyists descended on Washington. Their goal was to obtain special breaks that would allow banks to make big bets in their portfolios. The New York Times reports.

Fitch Ratings cut the bank's credit rating one notch to A-plus from AA-minus late on Friday, citing its recent disclosure of a massive $2 billion trading loss, the result of a failed hedging strategy.

United States and British regulators have been in discussions with the bank for almost a month about the trading group that disclosed more than $2 billion in losses, The New York Times reports.

JPMorgan Chase’s $2 billion trading loss, which was disclosed on Thursday, could give supporters of tighter industry regulation a huge new piece of ammunition as they fight a last-ditch battle with the banks over new federal rules that may redefine how banks do business. The New York Times reports.

The new lead investigator at the U.S. Securities and Exchange Commission's watchdog office has been placed on administrative leave after he talked openly about wanting to carry a concealed firearm at work and some employees complained he was a physical threat, according to people familiar with the matter.

A new study using industry data says that broker rebates could be costing mutual funds, pension funds and ordinary investors as much as $5 billion a year, the New York Times reports.

A major new rule that has drawn the ire of Wall Street is on track for completion sooner than some bankers had expected, dashing the hopes of financial industry lobbyists, who have pressed for a delay. The NYT reports.

The United States Securities and Exchange Commission—or SEC—is the watchdog of Wall Street. So how does it work and what power does it really have? CNBC explains.

A former managing director for Morgan Stanley has pleaded guilty to a single count of conspiracy in yet another case highlighting the Foreign Corrupt Practices Act—the federal law that makes it a crime to bribe foreign officials.

Sean Egan told CNBC Thursday that the Securities and Exchange Commission had no reason to consider charging his credit-rating firm with intentional misstatements when it applied to be a "nationally recognized'' rating agency.

U.S. securities regulators on Wednesday finalized long-awaited rules that will dictate which companies dealing in derivatives will be subject to costly capital, margin and business conduct requirements.

U.S. prosecutors have added a new insider trading allegation against Rajat Gupta, a former director of Goldman Sachs and Procter & Gamble.