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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 "...

  • 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."

  • 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...

  • 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...

  • 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.

  • The results of the notice from the Securities and Exchange Commission and any enforcement action related to the outage are unknown at this time, NYSE owner Intercontinental Exchange Inc said following the release of its financial results. NYSE has sent the SEC a letter defending its actions before and during the outage, he said. The outage resulted from a...

  • Feb 6- Tyson Foods Inc disclosed on Monday it has received a subpoena from the U.S. Securities and Exchange Commission following allegations it conspired with rivals for years to fix chicken prices. Tyson received the subpoena from the SEC on Jan. 20 in connection with an investigation related to the company, according to regulatory documents.

  • The seller of Jimmy Dean sausage and Ball Park hot dogs received a subpoena from the U.S. Securities and Exchange Commission on Jan. 20 in connection with an investigation related to the company, according to documents filed with the SEC. Chief Executive Tom Hayes declined to share details about the subpoena with reporters on a conference call after the company...

  • The seller of Jimmy Dean sausage and Ball Park hot dogs received a subpoena from the U.S. Securities and Exchange Commission on Jan. 20 in connection with an investigation related to the company, according to documents filed with the SEC. Commenting on the SEC subpoena, JPMorgan analyst Ken Goldman said "obviously it is not a positive" for Tyson shares.

  • Feb 6- Tyson Foods Inc reported better-than-expected quarterly revenue and profit, helped by higher beef and pork exports and lower livestock costs, and the company said it received a subpoena from the U.S. Securities and Exchange Commission. Net income attributable to Tyson rose to $593 million, or $1.59 per share, in the first quarter ended Dec. 31, from $461...