×

Government Agencies SEC

  • Icahn's departure followed a flurry of changes at the White House. The White House declined to comment. One of Icahn's first tasks was to vet the future Securities and Exchange Commission chairman and a number of candidates met with the octogenarian investor in his Fifth Avenue office just a few blocks north of Trump Tower in Manhattan.

  • NEW YORK, Aug 18- The top U.S. securities regulator on Friday dropped its civil lawsuit accusing two former JPMorgan Chase& Co traders of trying to hide some of the bank's $6.2 billion of losses tied to the 2012 "London Whale" scandal. The decision by the U.S. Securities and Exchange Commission to dismiss charges against Javier Martin-Artajo and Julien Grout came...

  • A flag waves in front of the headquarters of the Securities and Exchange Commission in Washington, D.C.

    Two lawyers appointed at the SEC have ties to major companies like Goldman Sachs and Wells Fargo, that could complicate regulation.

  • Steven Peikin, the new co-head of enforcement at the SEC, held as much as $9 million worth of stock in dozens of blue-chip companies as of Aug. 8, according to a disclosure filing obtained through a public records request. Should those companies come before the SEC, potential conflicts of interest could arise. Having such conflicts is not unusual for senior SEC...

  • Secretary of State William F. Galvin.

    State lawmakers and regulators try to fill the void as Washington focuses on deregulation.

  • George Soros in January said at his annual media dinner held at the World Economic Forum in Davos, Switzerland that "it's impossible to predict" Trump's actions but that he was nonetheless "convinced that he is going to fail." Soros Fund Management held put options on PowerShares QQQ Trust, SPDR S&P 500 ETF and iShares Russell 2000 ETF as of June 30, according to...

  • A Reuters analysis of filings with the U.S. Securities and Exchange Commission showed that Coatue Management, Omega Advisors, Third Point, Tiger Global Management, Appaloosa Management, Paulson& Co, Soros Fund Management and Greenlight Capital in aggregate slashed 16 stakes, sold two stakes, increased six stakes, opened two new stakes, and maintained two...

  • Aug 14- Chipmaker Qualcomm Inc on Monday disclosed further details about the impact of an ongoing dispute with Apple Inc, responding to questions from the U.S. Securities and Exchange Commission. Apple and Samsung Electronics Co Ltd together accounted for 40 percent of Qualcomm's revenue in fiscal 2016.. The U.S. International Trade Commission agreed in...

  • OMAHA, Neb.— Warren Buffett's company has eliminated its stake in General Electric and boosted its investment in the Bank of New York Mellon Corp.. Berkshire Hathaway revealed those moves and several other changes to its U.S. stock portfolio in a filing with the Securities and Exchange Commission on Monday. Buffett's Omaha, Nebraska- based company increased its...

  • Bitcoin

    VanEck filed Friday with the U.S. Securities and Exchange Commission for an exchange-traded fund to invest in bitcoin derivatives.

  • NEW YORK, Aug 14- U.S. hedge fund managers were active in the FAANG group of high-flying tech stocks in the second quarter, with Third Point increasing its stake in two of the companies and Omega Advisors trimming stakes in three, regulatory filings showed. Daniel Loeb's Third Point increased its stake in Alphabet by 120,000 class A shares to 575,000 and increased...

  • COLUMBIA, S.C.— The company that led the failed effort to build two new nuclear reactors in South Carolina— and is now seeking to recoup billions more from customers— paid its executives millions in bonuses, some of it for work on the project, a review of federal records shows. A review of filings with the U.S. Securities and Exchange Commission show SCANA Corp. paid...

  • The SEC will vote at a later date on whether to let the decision stand. The SEC move is not unusual, particularly if the product or deal under scrutiny is controversial or high profile. SEC Chairman Jay Clayton, appointed by President Donald Trump, has not weighed in on the CHX deal publicly.

  • NEW YORK, Aug 9- Staff at the U.S. Securities and Exchange Commission on Wednesday recommended approving the sale of the Chicago Stock Exchange to a group led by China- based investors. It would be the first time a U.S. exchange has been bought by Chinese investors although there are also U.S. investors in the group. The SEC reviews proposed mergers involving...

  • Aug 7- A New York- based hedge fund that owns 17 percent of Acorda Therapeutics Inc on Monday called on the U.S. developer of drugs targeting neurological disorders to explore a sale, according to a regulatory filing with the U.S. Securities and Exchange Commission. Scopia Capital Management LP published a letter it had sent to Acorda's board of directors on...

  • BOX plans to open the trading floor in Chicago later this month, the exchange said in a statement following the decision to allow the move by the U.S. Securities and Exchange Commission. There are a handful of options trading floors left in the United States, including NYSE Arca Options in San Francisco, NYSE American Options in New York, Nasdaq PHLX in...

  • BOX plans to open the trading floor in Chicago later this month, the exchange said in a statement following the decision to allow the move by the U.S. Securities and Exchange Commission. There are currently four options trading floors in the United States: NYSE Arca Options in San Francisco, NYSE American Options in New York, Nasdaq PHLX in Philadelphia, and the...

  • MEXICO CITY, Aug 2- Mexican mogul Carlos Slim sold off a small portion of his 17 percent stake in the New York Times Co last week, capitalizing on the stock's considerable rally this year. Slim sold 521,500 shares of the stock on July 28, yielding about $10 million, according to a filing with the U.S. Securities and Exchange Commission. The cornerstone of his empire is...

  • "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...