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Government Agencies SEC

  • 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 "...

  • Berkshire Hathaway Inc. filed a quarterly update on its U.S. stock portfolio with the Securities and Exchange Commission on Tuesday. Berkshire's Apple Inc. stake is now worth $7.7 billion, up from roughly $2 billion the previous quarter. He has said that investments of less than $1 billion are likely to be the work of Ted Weschler or Todd Combs, who each handle...

  • 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."

  • WASHINGTON— President Trump has named Jay Clayton, a Wall Street attorney who worked on mergers and IPOs, to head the Securities and Exchange Commission. We asked James Cox, a professor at Duke University School of Law who's an expert on securities law and a close SEC- watcher. Q: How do you think the SEC might shift its focus in the Trump administration under Jay...

  • That language has not appeared in Amazon's warning about government regulation in at least the past five annual filings with the U.S. Securities and Exchange Commission. Republicans in Congress also have a plan to target imports while excluding export revenue from U.S. corporate income tax, known as a border adjustment tax. The proposal in the U.S. House of...

  • Jeff Bezos

    In its 2016 annual filing, Amazon said "trade and protectionist measures" might hinder its ability to grow.

  • That language has not appeared in Amazon's warning about government regulation in at least the past five annual filings with the U.S. Securities and Exchange Commission. Republicans in Congress also have a plan to target imports while excluding export revenue from U.S. corporate income tax, known as a border adjustment tax. The proposal in the U.S. House of...

  • The SEC said it also obtained a court order freezing five brokerage accounts controlled by Shaohua "Michael" Yin, 44, a partner at Hong Kong- based Summitview Capital Management Ltd and graduate of the University of Pennsylvania's Wharton School. The defendant, who has homes in Beijing and Palo Alto, California, was charged a week after the FBI executed a search...

  • That language has not appeared in Amazon's warning about government regulation in at least the past five annual filings with the U.S. Securities and Exchange Commission. Republicans in Congress also have a plan to target imports while excluding export revenue from U.S. corporate income tax, known as a border adjustment tax. The proposal in the U.S. House of...

  • WASHINGTON, Feb 10- The U.S. Securities and Exchange Commission said on Friday it had filed civil securities fraud charges against five Chinese citizens for alleged insider trading ahead of the April 2016 acquisition of DreamWorks Animation SKG Inc by Comcast Corp.. The SEC said in a statement it had also won a court order freezing brokerage accounts holding...

  • The drive to repeal the rules has come in a multi-pronged attack— from the White House, on Capitol Hill and at the Securities and Exchange Commission. Trump and the team around him "want to have this dramatic beginning, looking like he's moving as quickly as he can to fulfill all his campaign promises," says Norman Ornstein of the American Enterprise Institute, a...

  • Leon Cooperman

    The SEC has argued that Cooperman "misappropriated" information from an Atlas executive about the sale of the Atlas Pipeline unit.

  • Michael Piwowar, acting chairman of the U.S. Securities and Exchange Commission

    The pay-ratio rule requires companies to report the median pay of their workers and compare it to the CEO's pay, The Wall Street Journal reports.

  • The future of financial regulations under Trump administration

    Discussing the efforts to dismantle Dodd-Frank and other financial regulations with Paul Atkins, Patomak Global Partners CEO and former SEC commissioner.