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Government Agencies SEC

  • 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.

  • Computer hacker

    Amid the "gold rush" of ICOs, CoinDash had its website hacked Monday morning, diverting millions of dollars to the wrong place.

  • Shares in Oando, which are also listed in Johannesburg and Toronto, fell 9.54 percent in Lagos, down for the second session in a row, to a level last seen in June. "Our attention has been drawn to a report... stating that Oando is under investigation by the Securities and Exchange Commission following petitions filed by some foreign investors in Oando Nigeria Plc, in...

  • NEW YORK, July 14- Cost-cutting U.S. brokerage and asset manager Charles Schwab Corp is making plans to launch what could be its first new exchange-traded funds in nearly four years, a filing with U.S. regulators showed on Friday. The filing with the U.S. Securities and Exchange Commission did not disclose fees, but San Francisco- based Schwab has grown its share of...

  • NEW YORK, July 14- Cost-cutting U.S. brokerage and asset manager Charles Schwab Corp is making plans to launch what could be its first new exchange-traded funds in nearly four years, a filing with U.S. regulators showed on Friday. The filing with the U.S. Securities and Exchange Commission did not disclose fees, but San Francisco- based Schwab has grown its share of...

  • Hacking hacker

    Federal prosecutors allege that MIT research scientist Fei Yan's profits came from confidential information he obtained from his wife.

  • NEW YORK— Authorities in New York have brought charges against 14 people they say were involved in a $147 million stock scheme. Newsday reports that the 10 New York defendants named in the Securities and Exchange Commission case pleaded not guilty Wednesday in federal court in Brooklyn. The SEC says the suspects partnered with four out-of-state corporate...

  • In his first major address since becoming chairman of the U.S. Securities and Exchange Commission earlier this year, Jay Clayton laid out his regulatory philosophy for how he plans to run the agency and said the SEC staff was working to prepare proposals aimed at reforming the rules on disclosure. But his comments broadly called for efforts to scale back...

  • Martin Shkreli, former chief executive officer of Turing Pharmaceuticals AG, right, exits federal court with his attorney Benjamin Brafman in the Brooklyn borough of New York, June 29, 2017.

    Shkreli allegedly ignored calls to limit trading of investors' money, telling Retrophin chairman "I can get rid of you whenever I need to."

  • In his first major address since becoming chairman of the U.S. Securities and Exchange Commission earlier this year, Jay Clayton laid out his regulatory philosophy for how he plans to run the agency and said the SEC staff was working to prepare proposals aimed at reforming the rules on disclosure. But his comments broadly called for efforts to scale back...

  • In his first major address since becoming chairman of the U.S. Securities and Exchange Commission earlier this year, Jay Clayton laid out his regulatory philosophy for how he plans to run the agency and said the SEC staff was working to prepare proposals aimed at reforming the rules on disclosure. But his comments broadly called for efforts to scale back...

  • However, his comments broadly called for efforts to scale back unnecessary corporate disclosures, reduce compliance burdens on small and mid-sized companies, ramp up the enforcement division's focus on protecting retail investors from run-of-the-mill frauds, and taking better care to retrospectively review SEC rules to ensure they are having the...