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  • According to the SEC, from 2007 to 2013 roughly 19 workers at Johnson Controls' Chinese marine subsidiary used sham vendors to make roughly $4.9 million of improper payments. The SEC said Johnson Controls improperly recorded the payments on its books and lacked sufficient controls to detect the payments. Without admitting wrongdoing, Johnson Controls...

  • A Tesla spokesperson said Monday that the company has not received any communication from the SEC. SEC spokeswoman Florence Harmon declined to comment. On that same day, the company submitted a filing to the SEC about its plans to sell $2 billion worth of stock, including nearly 2.8 million shares sold by Tesla's CEO Elon Musk.

  • July 11- Johnson Controls Inc has agreed to pay $14.4 million to settle U.S. Securities and Exchange Commission charges that a Chinese unit used sham vendors to make illegal payments to employees of Chinese state-owned shipyards and others, the regulator said on Monday. The U.S. Department of Justice declined to bring related criminal charges against the...

  • July 11- The U.S. Securities and Exchange Commission is investigating Tesla Motors Inc for a possible securities law breach after the electric car maker failed to disclose a fatal crash in May, the Wall Street Journal reported, citing a person familiar with the matter. The SEC is scrutinizing whether Tesla should have disclosed the accident as a "material" event,...

  • Tesla and the SEC

    Tom Gorman, Former SEC lawyer, discusses the news that the SEC may be investigating Tesla.

  • Tesla: Have not received any communication from SEC

    CNBC's Sharon Epperson reports the latest in the story that the SEC is investigating Tesla for a possible securities breach.

  • The SEC is investigating Tesla Motors over a potential securities law breach, The Wall Street Journal reported Monday.

  • SEC investigates Tesla for securities law breach -DJ

    CNBC's Sharon Epperson reports that the SEC is investigating automaker Tesla for possible securities law breach, according to Dow Jones.

  • The SEC said Pirrello, who worked at Garden State Securities Inc in Hackensack, New Jersey, also recommended the three target companies to his colleagues, who made their own trades before the mergers were announced. James Cobb, Avent's lawyer, said in an email that the SEC claims were meritless and that his client always followed the law. The deals in question...

  • In a ruling released on Tuesday, the SEC said the NYSE could allow stocks to open for trading on particularly volatile days, even in the absence of clear price disclosure that is normally required before trading opens. The NYSE had asked for the new rules after disorderly trading on Aug. 24, 2015, when there was a record intraday drop in the Dow Jones industrial...

  • NEW YORK, July 5- A judge for the Securities and Exchange Commission opened the door for U.S. exchanges to charge more for their high-speed data products, a move that could reduce the number of high-frequency trading firms that trade large quantities of securities. Brenda Murray, chief administrative law judge for the SEC, last month rejected a petition by a...

  • The SEC, which confirmed the verdict on Friday, said the jury after several days of deliberation had been unable to reach unanimous verdicts on its fraud or lying to auditor claims. The SEC sued Goldstone, Simmons and former Thornburg chief accounting officer Jane Starrett in 2012, alleging they hid the company's fast-deteriorating financial condition at...

  • The U.S. Department of Justice said Sanchez lied in a July 2011 Securities and Exchange Commission deposition when he denied knowing other people who bought Potash securities before Potash revealed Anglo-Australian mining company BHP Billiton Plc's unsolicited $38.6 billion takeover bid. Prosecutors said the SEC did not discover the account and the...

  • NEW YORK, June 29- Investors Cameron and Tyler Winklevoss on Wednesday filed to switch the listing of their proposed bitcoin exchange-traded fund to BATS Global Markets from Nasdaq, according to a filing with the Securities and Exchange Commission. The proposed ETF, the Winklevoss Bitcoin Trust, will list 1 million shares at $65 each, according to the filing.

  • NEW YORK, June 29- A U.S. judge dismissed a. The NYSE, a unit of Intercontinental Exchange Inc; Nasdaq and Bats Global Markets charge fees for the data, with NYSE Arca's "ArcaBook" and Nasdaq's "Level 2" products at the heart of the issue. Administrative law judge Brenda Murray of the U.S. Securities and Exchange Commission found significant competitive forces...

  • LONDON, June 29- Clearing houses and payment systems must show by June 2017 how their core operations would recover within two hours from a cyber attack, regulators said on Wednesday in their first global financial sector guidelines for tackling hackers. Mary Jo White, chair of the U.S. Securities and Exchange Commission- one of the watchdogs behind the new...

  • LONDON, June 29- Clearing houses and payment systems must show by June 2017 how their core operations would recover within two hours from a cyber attack, regulators said on Wednesday in their first global financial sector guidelines for tackling hackers. Mary Jo White, chair of the U.S. Securities and Exchange Commission- one of the watchdogs behind the new...

  • LONDON, June 29- Clearing houses and payment systems must show by June 2017 how their core operations would recover within two hours from a cyber attack, regulators said on Wednesday in their first global financial sector guidelines for tackling hackers. Mary Jo White, chair of the U.S. Securities and Exchange Commission- one of the watchdogs behind the new...

  • LONDON, June 29- Clearing houses and payment systems must show by June 2017 how their core operations would recover within two hours from a cyber attack, regulators said on Wednesday in their first global financial sector guidelines for tackling hackers. Mary Jo White, chair of the U.S. Securities and Exchange Commission- one of the watchdogs behind the new...

  • LONDON, June 29- Clearing houses and payment systems must show by June 2017 how their core operations would recover within two hours from a cyber attack, regulators said on Wednesday in their first global financial sector guidelines for tackling hackers. Mary Jo White, chair of the U.S. Securities and Exchange Commission- one of the watchdogs behind the new...