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Government Agencies SEC

  • The April 25 settlement between the Securities and Exchange Commission and BlackRock Fund Advisors comes after the SEC said that from December 2010 through January 2015, the company operated iShares MSCI Russia Capped ETF in violation of SEC rules. Legal requirements governing mutual funds require that they seek a special exemption from the SEC before...

  • Acting SEC Chairman Michael Piwowar.

    Acting SEC Chairman Michael Piwowar has asked the staff of the regulator to come up with a proposal.

  • Jonathan Ly, 28, was sentenced by U.S. District Judge John Coughenour in Seattle after pleading guilty in December to a securities fraud charge for having engaged in an insider trading scheme that prosecutors said netted him $331,000. He previously reached a $375,907 settlement with the U.S. Securities and Exchange Commission.

  • Jonathan Ly, 28, was sentenced by U.S. District Judge John Coughenour in Seattle after pleading guilty in December to a securities fraud charge for having engaged in an insider trading scheme that prosecutors said netted him $331,000. He previously reached a $375,907 settlement with the U.S. Securities and Exchange Commission.

  • NEW YORK, April 25- The U.S. Securities and Exchange Commission plans to review its decision last month to block the listing of the first U.S. exchange-traded fund tracking the digital currency bitcoin, a regulatory filing showed on Tuesday. A more-than-three-year effort by investors Cameron and Tyler Winklevoss to convince the SEC to allow it to bring the...

  • Denarium Bitcoins.

    The SEC plans to review a decision last month to deny a request to list what would have been the first U.S. ETF built to track bitcoin.

  • NEW YORK, April 25- The U.S. Securities and Exchange Commission plans to review a decision last month to deny a request to list what would have been the first U.S. exchange-traded fund built to track the digital currency bitcoin.

  • SECURITIES AND EXCHANGE COMMISSION SAYS GRANTING ORDER TO REVIEW DECISION DENYING WINKLEVOSS BITCOIN ETF.

  • Buffalo Wild Wings

    The battle between Buffalo Wild Wings and activist investors at Marcato Capital Management continued to rage on Tuesday.

  • WASHINGTON, April 25- Four years ago, two analysts who liked to swap notes on numbers they thought looked odd took a fateful step and tipped off U.S. regulators about a company that one of them had watched for months. Orthofix International NV caught one of the analysts' attention in 2012. The Texas- based medical device maker kept hitting ambitious earnings targets...

  • WASHINGTON, April 25- Four years ago, two analysts who liked to swap notes on numbers they thought looked odd took a fateful step and tipped off U.S. regulators about a company that one of them had watched for months. Orthofix International NV caught one of the analysts' attention in 2012. The Texas- based medical device maker kept hitting ambitious earnings targets...

  • Inside a Buffalo Wild Wings location.

    Marcato Capital Management said Buffalo Wild Wings misrepresented share performance in materials it filed with the U.S. Securities and Exchange Commission.

  • April 18- The U.S. Securities and Exchange Commission on Tuesday suffered a rare loss before one of its own judges, who dismissed a case accusing an Atlanta real estate investor of insider trading. SEC Administrative Law Judge James Grimes found no evidence that Charles Hill gained $744,000 of illegal profit in shares of Radiant Systems Inc in 2011 after...

  • WASHINGTON, April 18- Conservative U.S. Supreme Court justices raised concerns on Tuesday about whether the Securities and Exchange Commission should be able to order defendants to fork over illegal profits reaped by misconduct that dates back more than five years. The ruling in the case involving New Mexico- based investment adviser Charles Kokesh, due by...

  • You want to save as much as possible for retirement. The financial services industry wants to make as much money off you as it can. Over time, though, higher fees can dramatically reduce the amount of money that investors accumulate for retirement, according to the Securities and Exchange Commission and other investor watchdogs, and significantly increase the...

  • Fink was awarded $25.5 million in compensation last year, compared with $25.8 million in 2015, based on a calculation of his pay according to U.S. Securities and Exchange Commission guidelines.

  • The sources spoke anonymously because deliberations on candidates for the SEC, which is the primary regulator that polices and writes rules for Wall Street, are not public. Other names that are in the mix include Vermont Law School professor Jennifer Taub, the AFL-CIO's office of investment director Heather Slavkin Corzo and Andy Green, a managing director at...

  • The sources spoke anonymously because deliberations on candidates for the SEC, which is the primary regulator that polices and writes rules for Wall Street, are not public. Other names that are in the mix include Vermont Law School professor Jennifer Taub, the AFL-CIO's office of investment director Heather Slavkin Corzo and Andy Green, a managing director at...

  • Ramamurti is senior counsel to Warren on banking and economic policy and she is staunchly backing him for the SEC job, one of the sources told Reuters. The sources spoke anonymously because the deliberations over SEC candidates are not public. The SEC is the primary regulator that polices and writes rules for Wall Street.

  • WASHINGTON/ BOSTON April 12- Bharat R. Ramamurti, a legislative aide for Democratic Massachusetts Senator Elizabeth Warren, is a contender for one of the vacant commissioner jobs at the U.S. Securities and Exchange Commission, according to people familiar with the matter. Ramamurti currently serves as senior counsel to Warren on banking and economic policy,...