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Government Agencies SEC

  • Traders work on the floor of the New York Stock Exchange.

    Some of the names on the move ahead of the open.

  • WASHINGTON, Feb 25- As the U.S. Securities and Exchange Commission gears up for an expected liberalization of the rules that govern how companies raise capital, the commissions lone Democrat on Saturday urged the agency to tread carefully and avoid unduly harming investors. In her first speech since Republican President Donald Trump won the White House, SEC...

  • U.S. agencies, including the U.S. Securities and Exchange Commission, are looking into whether or not the bank hired candidates "referred by or related to foreign government officials" over other candidates, the filing said. "Citigroup is cooperating with the investigations and inquiries," the company said in the filing with the SEC. JPMorgan Chase& Co agreed to pay...

  • Feb 24- Buyout firm KKR& Co LP is preparing an initial public offering of Gardner Denver Inc that could value the U.S. industrial machinery maker at between $6 billion and $7 billion including debt, according to people familiar with the matter. Gardner Denver may register its IPO with the U.S. Securities and Exchange Commission as early as next week, the people said...

  • WASHINGTON, Feb 24- The U.S. Securities and Exchange Commission is developing a plan to poll mom and pop investors about their views on how regulatory policies may impact them directly, amid concerns their voices are not often heard when the SEC writes new rules. In a speech at "SEC Speaks," an annual conference held by the Practising Law Institute, SEC Investor...

  • President Donald Trump's pick to head the SEC, attorney Jay Clayton, has still not been confirmed by the U.S. Senate, and Trump has not yet named the other two commissioners. While Piwowar is limited in what he can accomplish, he also spoke about some bigger-ticket items that he hopes the SEC can do to improve capital formation. In particular, he called on the SEC to...

  • Piwowar's comments come at a time when many on Wall Street have been questioning whether the Justice Department and the SEC will ease enforcement of the FCPA. In addition, Trump's pick to lead the SEC, attorney Jay Clayton, previously chaired a committee at the New York City Bar Association which drafted a paper that was somewhat critical of how the law was being...

  • The various rules that will be contemplated by the SEC at a public meeting on March 1 are considered unlikely to generate much controversy. President Donald Trump's pick to head the SEC, attorney Jay Clayton, has still not been confirmed by the U.S. Senate, and Trump has not yet named the other two commissioners. One measure Piwowar said the SEC will consider next...

  • The SEC's decision comes after the U.S. Court of Appeals for the District of Columbia ruled in January that the regulator overstepped its authority when it barred attorney and stock broker Gregory Bartko from working in various financial services sectors, including the transfer agent and municipal securities industries. The SEC has routinely taken civil...

  • WASHINGTON, Feb 22- Jay Clayton, the deal-making lawyer President Donald Trump has chosen to lead the U.S. Securities and Exchange Commission, is expected to move swiftly after his confirmation to start smoothing the path for businesses seeking to raise money. Clayton could sit before the Senate Banking Committee for his confirmation hearing as soon as March 2,...

  • Tyson Foods signage is displayed on the floor of the New York Stock Exchange on Monday, Nov. 21, 2016.

    In his first televised interview as CEO of Tyson Foods, Tom Hayes told "Squawk on the Street" that the price-fixing lawsuits were unfounded.

  • The Emerging AgroSphere ETF would give investors an opportunity to buy a group of companies making prescription drugs using cannabis extracts, selling hemp derivatives and other related stocks, fund backer ETF Managers Group LLC said in a filing with the U.S. Securities and Exchange Commission last week. A spokesman for ETF Managers Group LLC declined to...

  • Rep. Jeb Hensarling, R-Texas.

    Instead of a director who can be fired, industry groups have called for a bipartisan five-member commission to lead the CFPB.

  • WASHINGTON, Feb 15- Mary Jo White, who recently departed as chair of the U.S. Securities and Exchange Commission, has returned to law firm Debevoise& Plimpton LLP as senior chair of the practice, the firm said on Wednesday.

  • NEW YORK, Feb 14- Premium Point Investments LP is under investigation by the U.S. Securities and Exchange Commission over the valuation of structured products and other assets held by its funds, according to a letter sent to clients of the New York- based investment firm. A spokeswoman for the SEC declined to comment. Premium Point managed $4.5 billion as of Dec. 31,...

  • The SEC announcement came two years after CVR disclosed regulators were examining whether it properly characterized fees it agreed to pay advisers Goldman Sachs and Deutsche Bank to defend against Icahn's tender offer. According to the SEC, the Texas- based oil refinery company made inadequate disclosures in SEC filings about "success fee" arrangements it...

  • NEW YORK, Feb 14- Soros Fund Management LLC eliminated its shares in Barrick Gold Corp in the fourth quarter of 2016, 13 F-HR filings with the U.S. Securities and Exchange Commission showed on Tuesday.

  • NEW YORK, Feb 14- Premium Point Investments LP is under investigation by the U.S. Securities and Exchange Commission over the valuation of structured products and other assets held by its funds, according to a letter sent to clients of the New York- based investment firm. A spokeswoman for the SEC declined to comment. Premium Point managed $4.5 billion as of Dec. 31,...

  • Feb 14- Morgan Stanley has agreed to pay $8 million to settle charges related to single inverse exchange-traded fund investments that the firm had recommended to clients, U.S. financial regulators said on Tuesday. In a statement, the Securities and Exchange Commission said Morgan Stanley admitted to wrongdoing, adding that the company had from 2010 to 2015 "...

  • Irwin Simon, president and chief executive officer of Hain Celestial Group Inc.

    In a regulatory filing, Hain Celestial says the SEC issued a subpoena "seeking relevant documents."