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Government Agencies SEC

  • *SEC only became aware of the intrusion last month. EDGAR houses millions of documents that companies are required to file to the SEC so that they can be accessed by investors. Although the SEC "promptly" patched the vulnerability after detecting it in 2016, the regulator only became aware last month that the glitch "may have provided the basis for illicit gain...

  • Scott Minerd, Guggenheim Partners

    Guggenheim Partners CIO Scott Minerd downplayed reports of upheaval at the firm and dismissed talk of a power struggle with the CEO.

  • A man walks out of a shop displaying a bitcoin sign during the opening ceremony of the first bitcoin retail shop in Hong Kong on February 28, 2014.

    Paul Atkins, Patomak Global Partners CEO and former SEC commissioner, discusses the outlook for initial coin offerings (ICO) and regulating cryptocurrencies.

  • WASHINGTON, Sept 14- SunTrust Banks Inc has agreed to pay more than $1.1 million to settle U.S. charges that its investment subsidiary had improperly collected avoidable fees from clients, the U.S. Securities and Exchange Commission said on Thursday.

  • The lawmakers signed a letter asking the Justice Department, Securities and Exchange Commission and Federal Trade Commission to probe about $1.8 million in stock sales by three executives between the time the company learned about the hack and when they made it public. "If that happened, somebody needs to go to jail," Senator Heidi Heitkamp, a Democrat on the...

  • Sept 8- The U.S. Securities and Exchange Commission on Friday said it planned to approve an application that would let Vanguard Group, the world's second largest asset manager, offer exchange-traded versions of its actively managed mutual funds. A spokeswoman for Vanguard, which first approached the SEC regarding listing actively managed funds in 2014,...

  • Sept 8- The U.S. Securities and Exchange Commission on Friday said it planned to approve an application that would let Vanguard Group Inc list some of its mutual funds as actively managed exchange-traded funds.

  • The Securities and Exchange Commission in Washington.

    CNBC's Dominic Chu reports that the SEC has charged and settled with a former Amazon employee over insider trading.

  • The figure includes $32.3 million that State Street had previously agreed to pay to the SEC to settle fraud charges for the secret mark-ups. In addition, the SEC said in a statement that State Street agreed to pay a $3 million penalty, without admitting or denying findings that its disclosure failures related to its GovEx government securities trading...

  • Jay Clayton, chairman of the SEC.

    Securities transactions must now settle within two business days instead of three.

  • One concern for the SEC relates to a rise in cases of information being stolen by hackers to gain some sort of market advantage, said Stephanie Avakian, co-director of the SEC's enforcement division, who joined Clayton on the panel along with co-Director Steven Peikin. The SEC said in July that tokens issued through ICOs, which have allowed startups to raise $1...

  • Balaji Srinivasan, CEO of 21.co

    An interview with 21.co founder and Andreessen Horowitz partner Balaji Srinivasan, an early crypto investor.

  • Alan Cohen, who was most recently a senior advisor to Goldman's executive office after serving as the head of compliance since 2004, will advise SEC Chairman Jay Clayton on the impact of Britain's exit from the European Union and new European rules that will overhaul banks' research businesses, among other emerging risks, the SEC said Thursday evening.

  • President Donald Trump is expected to nominate Columbia University law professor Robert Jackson to be a member of the Securities and Exchange Commission, a person with knowledge of the matter said on Thursday. His appointment follows the administration's decision to nominate Hester Peirce as a Republican commissioner in July and would bring the SEC to...

  • Publishing information after 4:00 p.m. can cause a company's stock to trade in other markets at materially different prices than that of NYSE's closing auction, the exchange operator said in a letter to the U.S. Securities and Exchange Commission. If the proposal passes, listed companies will have to delay news releases till 4:05 p.m., or until the time the...

  • Publishing information after 4:00 p.m. can cause a company's stock to trade in other markets at materially different prices than that of NYSE's closing auction, the exchange operator said in a letter to the U.S. Securities and Exchange Commission. If the proposal passes, listed companies will have to delay news releases till 4:05 p.m., or until the time the...

  • The SEC declined to comment. Guy Petrillo, Duka's lawyer, said in a statement the SEC's fraud claim was one "that was never supported and that should never have been brought. The SEC filed its administrative case against Duka in 2015 as the regulator and two state attorneys general announced a $77 million settlement with S&P, then a unit of McGraw-Hill Financial...

  • Aug 25- Meat processor Tyson Foods Inc said U.S regulators have not recommended any enforcement action after they concluded a probe related to allegations the company fixed chicken prices along with its peers for years. The No. 1 U.S. meat processor and a handful of other large meat companies have been accused of antitrust violations relating to the pricing,...

  • Aug 25- Meat processor Tyson Foods Inc said U.S regulators have not recommended any enforcement action after they concluded a probe related to allegations the company fixed chicken prices along with its peers for years. The No. 1 U.S. meat processor and a handful of other large meat companies have been accused of antitrust violations relating to the pricing,...

  • Spotify execs meet with SEC to discuss direct listing IPO

    CNBC's Leslie Picker reports on Spotify executives meeting with the SEC to discuss a direct listing IPO.