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Government Agencies SEC

  • The amount of commercial bank loans to state and local governments has more than doubled since the financial crisis, increasing from $66.5 billion at the end of 2010 to $153 billion by the end of 2015, according to the SEC. The SEC said it will seek public comment on the proposal before taking its final action. The National Federation of Municipal Analysts in...

  • Tim Pawlenty

    The rule requires retirement advisors to put their clients' best interest first, but industry groups don't like it.

  • Collectively, the measures unveiled by the SEC on Wednesday aim to "focus the light of disclosure in ways that empower investors" while also promoting "efficient regulation," Piwowar said. One such initiative, for instance, calls for public comments on how the SEC should update stale, 30- year-old guidance to the banking sector about certain statistical...

  • The SEC said unidentified traders at brokerages in London and Singapore had information on the acquisition before it was made public. The SEC said the traders purchased Fortress stock on Feb. 14 and sold it the following day for profits totaling $3.6 million. "The SEC's emergency action to freeze the proceeds of the traders' highly suspicious transactions...

  • DETROIT, Feb 28- Fiat Chrysler Automobiles NV Chief Executive Sergio Marchionne received $12 million in pay and benefits for 2016, the automaker reported to the U.S. Securities and Exchange Commission on Tuesday in its annual report. For 2015, Marchionne, 64, received total compensation estimated at $74 million, which included shares worth about $63 million...

  • DETROIT, Feb 28- Fiat Chrysler Automobiles NV has received subpoenas from U.S. federal and state authorities, including the Securities and Exchange Commission, related to alleged excess diesel emissions by some of its vehicles, the automaker revealed in a filing with the SEC on Tuesday. On the diesel emissions issue, FCA said it has "received various inquiries,...

  • DETROIT, Feb 28- Fiat Chrysler Automobiles NV has received subpoenas from U.S. federal and state authorities, including the Securities and Exchange Commission, related to alleged excess diesel emissions by some of its vehicles, the automaker revealed in a filing with the SEC on Tuesday. On the diesel emissions issue, FCA said it has "received various inquiries,...

  • DETROIT, Feb 28- Fiat Chrysler Automobiles NV is being investigated by the U.S. Securities and Exchange Commission, the U.S. Justice Department and several state attorneys general for alleged excess diesel emissions by some of its vehicles, the automaker revealed in a filing with the SEC on Tuesday.

  • 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...