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Government Agencies SEC

  • "Information security control deficiencies in the SEC computing environment may jeopardize the confidentiality, integrity, and availability of information residing in and processed by its systems," the GAO said. "Until SEC mitigates its control deficiencies, its financial and support systems and the information they contain will continue to be at...

  • WASHINGTON, July 27- Oil company Halliburton Co will pay $29.2 million to settle civil charges it violated federal anti-bribery rules related to books, record-keeping and internal accounting controls while doing business in Angola, U.S. regulators said on Thursday. The Securities and Exchange Commission said Halliburton's former vice president, Jeannot...

  • WASHINGTON, July 27- Oil giant Halliburton Co will pay $29.2 million to settle civil charges it violated federal anti-bribery rules related to books, record-keeping and internal accounting controls while doing business in Angola, U.S. regulators said Thursday. The Securities and Exchange Commission said Halliburton's former vice president, Jeannot...

  • A person scans a quick response (QR) code with a smartphone while demonstrating usage of the company's Robocoin-branded automated teller machine (ATM) at The Pink Cow restaurant and bar in Tokyo, Japan.

    Increased regulator attention on digital currencies will help them develop into a mature investment product, several analysts said.

  • In an appearance at the U.S. Chamber of Commerce, Securities and Exchange Commission Chairman Jay Clayton raised some concerns about the Labor Department's so-called "fiduciary rule," which aims to reduce conflicts of interest among brokers offering advice on retirement investments. The SEC, the primary regulator of brokers with power to write its own...

  • July 25- Wall Street's main regulator said on Tuesday that initial coin offerings, a means of crowdfunding for blockchain technology companies, should be subject to the same safeguards required in traditional securities sales. But the Securities and Exchange Commission has said that the tokens can be considered securities, and therefore, may need to be...

  • July 25- Wall Street's main regulator said on Tuesday that initial coin offerings, a means of crowdfunding for blockchain technology companies, should be subject to the same safeguards required in traditional securities sales. But the Securities and Exchange Commission has declared that the tokens can be considered securities, and therefore, may be need to...

  • WASHINGTON, July 25- A Republican regulator at the U.S. Securities and Exchange Commission urged the Labor Department on Tuesday to scrap its fiduciary rule, which aims to reduce conflicts of interest when brokers offer retirement advice, saying it was misguided. In a comment letter to the Labor Department, SEC Commissioner Mike Piwowar said the rule, which...

  • WASHINGTON, July 25- Wall Street's main regulator said on Tuesday that initial coin offerings, a means of crowdfunding for blockchain technology companies, should be subject to the same safeguards required in traditional securities sales. But the Securities and Exchange Commission has declared that the tokens can be considered securities, and therefore,...

  • WASHINGTON, July 25- U.S. regulators on Tuesday declared that the offer and sale of digital assets, such as initial coin offerings, are securities- a determination that could pave the way for enforcement actions if firms fail to register the deals. In the report, the SEC concluded that the tokens being sold were securities, and therefore, must be registered.

  • According to an agreement filed by the U.S. Securities and Exchange Commission on Monday in Manhattan federal court, Ariel Darvasi, a genetics professor at the Hebrew University of Jerusalem, will pay about $854,000. The SEC in March charged that Darvasi, of Mevaseret Zion, Israel, and another Israeli, Amir Waldman, made "remarkably timed" purchases of Mobileye...

  • According to an agreement filed by the U.S. Securities and Exchange Commission on Monday in Manhattan federal court, Ariel Darvasi, identified in the agency's March 13 complaint as a genetics professor at the Hebrew University of Jerusalem, will pay about $854,000. The SEC has said Darvasi, of Mevaseret Zion, Israel, and another Israeli, Amir Waldman, made "...

  • From left Amazon founder Jeff Bezos, Alphabet CEO Larry Page, and Facebook COO Sheryl Sandberg listen during a meeting with technology industry leaders at Trump Tower in New York, NY on Wednesday, Dec. 14, 2016.

    Unlike every other fast-growing market in tech, crypto and blockchain aren't dominated by the big incumbents.

  • LAGOS, July 24- Nigerian pasta maker Dufil Prima Food plans to raise 40 billion naira from the local debt market to broaden its funding base, it said on Monday. Dufil Chief Operating Officer Madhukar Khetan said in a statement that the issue has been approved by the Securities and Exchange Commission but that the timing of sale was subject to market conditions.

  • The SEC said John Stimpson bought AuthenTec call options, a bet that the stock price would rise, after learning nonpublic information in early July 2012 about a merger, including a special AuthenTec board meeting and unusual activity in AuthenTec's human resources department. In an order dated Tuesday, the SEC said Stimpson sold his options within three...

  • President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange Commission, the White House said on Tuesday. Peirce is a former Senate Banking Committee staff member and currently is the director of the Financial Markets Working Group at George Mason University's Mercatus Center.

  • President Donald Trump intends to nominate former Senate Republican aide Hester Maria Peirce to be a member of the Securities and Exchange Commission, the White House said on Tuesday. Peirce is a former Senate Banking Committee staff member and currently is the director of the Financial Markets Working Group at George Mason University's Mercatus Center.

  • Brad Katsuyama, president and CEO of IEX Group Inc.

    New analysis of the exchange profiled in Michael Lewis' "Flash Boys" shows it may be working.

  • WASHINGTON, July 18- Executives that represent Wall Street interests pitched ideas on Tuesday about ways to scale back securities regulations that they blamed for stifling the market for initial public offerings. In a congressional hearing before a House Financial Services Committee subcommittee, officials from the New York Stock Exchange, the U.S....

  • A general view of the Bitcoin booth at the 2015 International CES at the Las Vegas Convention Center.

    For all the hype in the digital currency world about initial coin offerings, U.S. investors can't officially participate.