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Government Agencies SEC

  • Senator Charles Grassley
    Grassley's Investigation Into the SEC

    As we explained a few weeks ago, Senator Charles Grassley is not investigating the hedge fund SAC Capital. He's investigating the government's investigation of SAC Capital.

  • moodys_logo.jpg
    Moody's Chief Compliance Officer Left Firm

    Amid increasing regualtion of credit-rating agencies, Moody's Investors Service's chief compliance officer has left his position, one that he held since Aug. 2009, according to infomation from the Dow Jones News Service.

  • fbi_badge_200.jpg
    A Trader, an F.B.I. Witness, and Then a Suicide

    the New York Times reports.

  • sac_capital_logo_200.jpg
    How Many Investigations Into SAC Capital Are There?

    DealBook reported last night that SAC Capital is under investigation by the Securities and Exchange Commission for possible insider trading in health-care stocks. So how many investigations into SAC Capital are there right now?

  • sac_capital_logo_200.jpg
    SAC Capital Grows Fund as Legal Battles Mount

    Shortly after the firm appeared to have dodged a federal criminal investigation into insider trading, news surfaced that a top Senate Republican had launched an inquiry into how the Securities and Exchange Commission handled past concerns about suspicious trading at the firm.

  • Goldman Sachs Chairman and CEO Lloyd Blankfein
    NY Prosecutors Probe Goldman

    New York prosecutors have delivered a subpoena to Goldman Sachs seeking information on the investment bank's mortgage and derivatives business, a person familiar with the matter said.

  • The Goldman Sachs booth on the floor of the New York Stock Exchange
    Goldman Hit With Subpoena From Manhattan DA

    The Manhattan District Attorney's office delivered a subpoena to Goldman Sachs today requesting information related to testimony Goldman executives gave to the U.S. Senate’s Permanent Subcommittee on Investigations, according to a person familiar with matter

  • The U.S. Securities and Exchange Commission seal hangs on the facade of its building in Washington, DC.
    SEC Employee Misled Fellow Ponzi Investors: Report

    An SEC employee may have compromised the investigation of a multi-million dollar Ponzi scheme last year by claiming to investors — of which he was one — that the company was legitimate,  according to a report by the agency's Inspector General.

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    Take 'Machine Gun' to Stocks They Still Go Up: Investor

    Despite "a machine gun" being taken to equity markets this year, the asset class' longer term poor performance has masked its considerable resilience, Guy Monson, fund manager at Sarasin & Partners, said.

  • A commodities trader at the New York Mercantile Exchange.
    Commentary: The Nature of Investors Has Changed

    If in doubt, blame speculators. That has been the popular political mantra in recent years whenever commodity and energy prices have soared. And events have now poured more fuel on the fire., according to the FT.

  • The U.S. Securities and Exchange Commission seal hangs on the facade of its building in Washington, DC.
    SEC Wasting Millions on Office Space: Report

    At a time when the Securities and Exchange Commission is scrambling for resources, a new report by the agency's internal watchdog says the SEC has wasted millions of dollars in a "deeply flawed" system for leasing office space.

  • Goldman Sachs Chairman and CEO Lloyd Blankfein
    Goldman Bankers React to Subpoena News

    At an fashionable hotel bar on a recent night in New York, a trio of Goldman Sachs investment bankers were discussing the news that federal prosecutors are expected to issuing subpoenas for documents related to Goldman’s mortgage business.

  • Senator Chuck Grassley
    Senator Grassley Probes SEC’s SAC Investigation

    Senator Chuck Grassley of Iowa turned up the heat in his investigation into how federal securities regulators have handled SAC Capital advisors, sending a letter to the Securities and Exchange Commission today asking the SEC to explain how it handled referrals regarding the hedge fund.

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    Why Is Congress Investigating Insider Trading?

    Do not be so quick to dismiss the Congressional probe into insider trading at SAC Capital Advisors.

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    Former Enron CFO One Step Closer to Freedom

    Former Enron Chief Financial Officer Andy Fastow has been transferred to a Houston halfway house as he prepares to be released from prison later this year.

  • Currency Signs
    State Street's Little SEC Problem - What Next?

    When State Street Bank disclosed an SEC probe into its foreign exchange processing, it showed the scope of this forex investigation is widening.

  • Floodwater engulfs a home after the Army Corps of Engineers blew a massive hole in a levee at the confluence of the Mississippi and Ohio Rivers to divert water from the town of Cairo, Illinois May 3, 2011 near Wyatt, Missouri.
    Five Things to Watch: Friggatriskaidekaphobia and More

    Freaky Friday for the roller-coaster markets. The Army Corps of Engineers considers the lesser of two evils, while investors take a look at the sum of two consumer data reports. Here's what we're watching…

  • Risk Is Out, Dollar Is In

    Risk is off, debt worries are on, and the dollar is in again - time for your FX Fix.

  • Trader at London Stock Exchange, England.
    RAB Set to Delist as Assets Evaporate

    RAB the hedge fund that was the toast of London’s financial community in the boom, is poised to delist from the UK’s junior market amid a crippling wave of redemption requests from investors, reported the FT.

  • retirement_next_exit_200.jpg
    Debate Continues Over Standards for Advisors, Broker-Dealers

    Building retirement savings, for many, is a huge challenge and seeking the appropriate advice can be very confusing, especially since those selling financial expertise are not all created equal.