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Government Agencies SEC

  • Jay Claton testifies before the Senate Banking Committee during his confirmation hearing to be chairman of the Securities and Exchange Commission in the Dirksen Senate Office Building on Capitol Hill March 23, 2017 in Washington, DC.

    The SEC has obtained an emergency order to freeze the assets of two individuals and a company to "halt a fast-moving Initial Coin Offering (ICO) fraud."

  • Nov 30- A long-delayed trading database meant to help regulators police stock and options markets faces further setbacks as the U.S. Congress considers whether it is secure enough to keep out cyber criminals. After nearly eight years of planning and multiple deadline extensions by the U.S. Securities and Exchange Commission, member exchanges were due to...

  • Abstract initial coin offering button on a virtual electronic user interface

    An ex-SEC regulator said he had been urging current commissioners to crack down on initial coin offerings. The NYT reports.

  • NEW YORK/ WASHINGTON, Nov 21- The U.S. Securities and Exchange Commission on Tuesday charged Oyster Bay, New York and former town supervisor John Venditto with defrauding municipal bond investors by concealing side deals with a local restaurateur. Prosecutors also added 21 new criminal charges, including securities and wire fraud, to an indictment against...

  • NEW YORK, Nov 20- BlackRock Inc is turning to the robots for its next big investment idea. The world's largest asset manager, which oversees nearly $6 trillion, has hatched plans for a set of exchange-traded funds that would let a computer program choose and classify stocks, according to preliminary filings with the U.S. Securities and Exchange Commission.

  • A tweet from the U.S. Securities and Exchange Commission's Fort Worth office.

    The Securities and Exchange Commission is best known as the no nonsense arm of U.S. financial law.

  • NEW YORK, Nov 14- The Chairman of the U.S. securities regulator said on Tuesday he did not support an industry request that had cited cyber security concerns to delay the rollout of a massive new database aimed at helping the regulator better police markets. U.S. stock exchanges on Monday requested the Securities and Exchange Commission postpone by a year...

  • NEW YORK, Nov 14- Paulson& Co left its stake in gold investments unchanged in the third quarter, as concerns about North Korea's nuclear weapons program helped lift bullion prices to a 13- month high, a U.S. Securities and Exchange Commission filing showed on Tuesday. Soros Fund Management LLC stayed out of gold for the fourth straight quarter.

  • NEW YORK, Nov 14- Paulson& Co left its stake in gold investments unchanged in the third quarter, as concerns about North Korea's nuclear weapons helped lift bullion prices to a 13- month high, a U.S. Securities and Exchange Commission filing showed on Tuesday. New York- based Paulson& Co, led by longtime gold bull John Paulson, kept its stake in SPDR Gold Trust at 4.36...

  • NEW YORK, Nov 14- Paulson& Co held its stake unchanged in the world's biggest gold exchange-traded fund in the third quarter, a 13 F filing with the U.S. Securities and Exchange Commission showed on Tuesday.

  • NEW YORK, Nov 14- U.S. stock exchanges have requested the Securities and Exchange Commission delay the rollout of a massive new database aimed at helping the regulator better police the markets so they can address cyber security concerns and conduct more testing. The exchanges are seeking to postpone by a year implementation of the first phase of the...

  • SEC penalties hit a 4-year low

    Jacob Frenkel, former SEC senior counsel and DOJ attorney, and Harvey Pitt, former SEC chairman, discuss whether the SEC is loosening up on Wall Street as penalties hit a four-year low.

  • NEW YORK, Nov 14- The U.S. Securities and Exchange Commission on Tuesday asked for public comment on a revised takeover proposal of the privately held Chicago Stock Exchange by a group led by a China- based investor after two other investors from China dropped out of the consortium.

  • SIFMA's 'Quantum Dawn IV' cyber drill tests markets' response to hack attacks. Here's how they fared

    Ken Bentsen, Securities Industry & Financial Markets Association (SIFMA) CEO and president, talks about an exercise performed by the financial services community to test its readiness and response in the event of a massive cyberattack.

  • NEW YORK, Nov 8- Billionaire investor Carl Icahn has been subpoenaed by the U.S. Justice Department over his efforts to overhaul the U.S. biofuels program during his time as an unpaid adviser to President Donald Trump, his company revealed in Securities and Exchange Commission filings. The U.S. Attorney's Office for the Southern District of New York subpoenaed...

  • According to the report, known as a "staff legal bulletin" and posted on the agency's website, the SEC will take new account of a proposal's "economic relevance" and its significance when companies ask for permission to skip votes on measures affecting less than five percent of their assets, earnings or sales. SEC officials said the new guidance was not meant to tilt...

  • Nov 3- Wells Fargo& Co is facing litigation over previously disclosed sales problems related to its auto lending and mortgage businesses, the bank disclosed in a regulatory filing on Friday. Wells Fargo disclosed the litigation in its third-quarter financial filing with the U.S. Securities and Exchange Commission. Wells Fargo's problems came to light...

  • Wells Fargo disclosed the litigation in its third-quarter financial filing with the U.S. Securities and Exchange Commission. Wells Fargo's problems came to light several years ago, but did not get widespread attention until Sept. 9, 2016, when it reached a settlement with three regulators over creating as many as 2.1 million fake accounts as branch employees...

  • District Judge Denise Cote in in Manhattan, while Osiris separately agreed to pay $1.5 million to settle a related civil lawsuit by the U.S. Securities and Exchange Commission, court records showed. The SEC's lawsuit, filed Thursday in Maryland federal court, also targets Jacoby and three other former Osiris executives. Jacob Frenkel, a lawyer for Law, denied the...

  • According to the report, known as a "staff legal bulletin" and posted on the agency's website, the SEC will take new account of a proposal's "economic relevance" and its significance when companies ask for permission to skip votes on measures affecting less than five percent of their assets, earnings or sales. SEC officials said the new guidance was not meant to tilt...