SEC Chairman Jay Clayton sits down with CNBC's Andrew Ross Sorkin at the 9th annual Delivering Alpha Summit in New York where the most influential people in politics and economics come together to discuss the best investing ideas.
Jay Clayton also cautions about the difficulty of "price discovery" for investors trying to cash in on crypto.
A unit of Raymond James Financial Inc, has agreed to pay $15 million to settle charges it improperly charged advisory fees on inactive retail client accounts and charged excess commissions for some brokerage customer investments.
NEW YORK, Sept 11- Corporate America appears to be rushing to get the most out of the decade-long bull market in stocks and bonds before a possible recession and election-year stock market volatility slam the IPO and credit windows shut. Approximately 70 companies have registered with the U.S. Securities and Exchange Commission to go public, according to...
After questioning from the Securities and Exchange Commission about its accounting practices, Starbucks will provide more disclosures about how it recognizes revenue.
WASHINGTON, Sept 9- The U.S. Securities and Exchange Commission on Monday proposed amendments to the national market system plan governing the Consolidated Audit Trail, a long-overdue trading database effort that is meant to help the agency police the stock and options exchange market.
SEC Chairman Jay Clayton sits down with CNBC's Bob Pisani to discuss the growth in IPOs, algorithmic trading, and whether progress has been made on a bitcoin ETF.
NEW YORK, Sept 3- U.S. companies planning to launch initial public offerings in the coming weeks are hoping that August's bout of stock market volatility will subside this month, according to investment bankers and capital markets lawyers advising them. By contrast, almost 70 companies have registered with the U.S. Securities and Exchange Commission for an IPO,...
WASHINGTON, Aug 27- The U.S. Securities and Exchange Commission said on Tuesday that it fined public accounting firm RSM US LLP $950,000 to settle claims it violated the agency's auditor independence rules. The SEC said RSM, which says on its website it is the country's fifth-largest accounting firm, provided non-audit services to at least 15 of its audit...
Under the settlement, Deutsche Bank did not admit or deny the findings, the SEC said. According to the SEC, Deutsche Bank has taken extensive remedial measures to fix its hiring compliance and internal accounting controls. The $16 million settlement amount includes disgorgement of $10.8 million, interest of $2.4 million and a $3 million civil penalty, the SEC...
WASHINGTON, Aug 22- The U.S. Securities and Exchange Commission on Thursday said Deutsche Bank had agreed to pay $16 million to settle charges that it violated the Foreign Corrupt Practices Act.
Aug 21- The U.S. Securities and Exchange Commission on Wednesday issued new guidance that aims to clarify how investors and advisory firms that cast ballots on their behalf should vote in corporate elections on issues like pay and diversity. The SEC voted 3-2 to publish the new guidance, with Democratic commissioners dissenting because it could add risks to...
WASHINGTON, Aug 21- The U.S. Securities and Exchange Commission on Wednesday proposed new guidance that aims to clarify how investors and advisory firms that vote on their behalf should cast their votes in corporate elections on issues like pay and diversity. The SEC's new guidance could set the agency up for a clash with investors who worry the SEC may diminish...
Tesla's market value is up more than 1,000% since the electric-car maker first sold stock in 2010.
Billionaire investor Ron Baron remains bullish on Tesla despite "some self-inflicted wounds" and a 32% drop in its stock price so far this year.
"If he had brought all of his data to the SEC first, he would reap potentially, up to 30% of the potential recovery," says former SEC Chairman Harvey Pitt.
After a bombshell accusation from Madoff whistleblower Harry Markopolos regarding GE's accounting, GE CEO Culp is defending the struggling company calling it stock manipulation. Jacob Frenkel, a former Securities and Exchange Commission enforcement lawyer, and Harvey Pitt, former SEC chairman and now Kalorama Partners CEO, join "Squawk Box" to discuss what regulators will be looking for when they start to take a closer look at GE and Markopolos' report.
WASHINGTON, Aug 16- The Securities and Exchange Commission on Friday said Cantor Fitzgerald& Co and BMO Capital Markets had agreed to pay $647,000 and $3.9 million respectively to settle charges of improper handling of "pre-released" American Depositary Receipts. With the latest actions, the SEC has charged 13 financial institutions in its ongoing...
WASHINGTON, Aug 16- The Securities and Exchange Commission on Friday said Cantor Fitzgerald& Co and BMO Capital Markets had agreed to pay $647,000 and $3.9 million respectively to settle charges of improper handling of "pre-released" American Depositary Receipts.
The SEC filed a civil suit in March accusing Volkswagen and its former chief executive, Martin Winterkorn, of defrauding investors in U.S. bond offerings. The SEC did not immediately comment Friday. Breyer said in May he was "totally mystified" why the SEC waited until 2019 to file suit.
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