Sec

Feds Approve Plan To Prevent Another Sudden Stock Market Crash

Reuters | Posted 06.02.2012

Read More: Sec Stock Market, U.S. Securities and Exchange Commission, Video, Securities and Exchange Commission Stock Market, Stock Market Securities and Exchange Commission, Reuters, Stock Market Sec, Sec, Securities and Exchange Commission, Business News

* "Limit up-limit down" to replace single-stock circuit breakers * Threshold for triggering market-wide trading halt lowered ...

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SEC Should Use Wall Street Technology to Detect Corporate Crime

Sanjay Sanghoee | Posted 06.01.2012

Read More: JPMorgan Chase, Wall Street, Quants, Financial Reform, Sarbanes-Oxley Act, Enron, Sec, Quantitative, Facebook, Securities and Exchange Commission, Bernie Madoff, Corporate Crime, Business News

Sadly but fortunately, there has been enough fraud, insider trading and other white collar crime in the United States over the past few decades to enable the SEC to create templates for major types of crimes and to tag the telltale signs of those crimes.

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Big SEC Payouts To Tipsters Could Freak Out CEOs

HuffingtonPost.com | Dan Froomkin | Posted 05.31.2012

Read More: Fraud, Sec, Securities and Exchange Commission, SEC Whistleblowers, Whistleblower Rewards, Business News

WASHINGTON -- The program to reward whistleblowers who report securities law violations has been a flashpoint for corporate anxiety ever since it made...

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The Final Straw: Break Up the Banks

David Fagin | Posted 05.30.2012

Read More: JP Morgan Chase, JP Morgan, Lehman-Investigation, Lehman Brothers, Financial Reform, Financial Crisis, Sec, Obama, Jamie Dimon, Facebook, Barack Obama, Politics News

Breaking up the banks might not be the answer to the "Economic Utopia" we all dream of, but, after the events of the past five years, could it get any worse?

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Bank Regulators Still Learning To 'Like' Social Media

Reuters | Jason Wallace Suzanne Barlyn | Posted 05.31.2012

Read More: Finra, Social Media, Video, Linkedin, Social Networking, Finance Social Media, Reuters, Finance Industry, Regulators, Sec, Facebook, Business News

By Jason Wallace and Suzanne Barlyn (Reuters) - As the securities industry finally warms up to using social media sites such as Faceboo...

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Schneiderman: Group Tasked With Probing Mortgage Crisis Needs 'More Resources'

The Huffington Post | Alexander Eichler | Posted 05.25.2012

Read More: Video, Residential Mortgage Backed Securities Working Group, Eric Schneiderman, Mortgage Crisis, Financial Crisis, Sec, Mortgage-Backed Securities, Securities and Exchange Commission, Commodity Futures Trading Commission, New York Attorney General, Financial Regulation, Cftc, Mortgage Task Force, Business News

When it comes to getting to the bottom of the financial crisis, it seems everyone could use a little bit more help. A government task force known a...

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Wall St. Cashes In On Facebook Stock Plunge While Ordinary Investors Lose Millions

The Huffington Post | Alexander Eichler | Posted 05.24.2012

Read More: Video, Morgan Stanley, Wall Street, Facebook IPO, Facebook Underwriters, Mark Zuckerberg, Sec, Facebook, Securities and Exchange Commission, Facebook Stock, Facebook Investors, Business News

In case a reminder was needed, the fallout from the Facebook IPO illustrates that Wall Street appears to be designed to serve the well-connected at th...

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The Rat Race to Regulate High Frequency Trading

John Bates | Posted 05.24.2012

Read More: Nanex, High-Frequency Trading, Bovespa Index, Dodd-Frank, Hft, Sec, Algorithmic Trading, Cftc, Flash Crash, Business News

While it is true that HFTs have a vested interest in keeping market abuse to a minimum, it is not yet clear that their liquidity has been healthy enough to withstand the pressure of incoming regulations.

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Wall Street Reform: Taking a Knife to a Gunfight

Sanjay Sanghoee | Posted 05.24.2012

Read More: Congress, Securities and Exchange Commission, Financial Reform, Commodity Futures Trading Commission, Elections 2012, Enron, Wall Street Reform, Jamie Dimon, Volcker Rule, Cftc, Financial Watchdog, JPMorgan Chase, Wall Street, Wall Street Regulation, Barack Obama, Mary Schapiro, Sarbanes-Oxley Act, Sec, Banking Reform, Gary Gensler, Glass-Steagall, Gary Gensler Chairman CFTC, Lobbyists, SEC Chairman Mary Schapiro, Appropriations, Banking Lobby, Banking Industry, Obama 2012, Dodd Frank, Special Interests, Business News

If Congress is truly serious about banking reform, it needs more than just well-intentioned laws: it also needs the right people to enforce those laws, it needs to give those people the resources they require to do their job properly, and it needs to pay them decently.

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Egg on Their Facebook

Andy Ostroy | Posted 05.23.2012

Read More: Massachusetts Secretary of State, Mark Zuckerberg, Sec, Morgan Stanley, Financial Industry Regulatory Authority, Ipo, Facebook, Facebook IPO, Facebook Stock Price, Facebook Stock, Business News

The controversy surrounding Facebook's IPO further demonstrates the need for greater scrutiny and regulation of the type of cowboy trading practices that nearly destroyed our economic system four years ago.

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Regulators To Review Facebook IPO Issues

Reuters | Posted 05.23.2012

Read More: Finra, Video, Facebook IPO, Nasdaq, Facebook Initial Public Offering, Reuters, Ipo, Mark Zuckerberg, Sec, Securities and Exchange Commission, Facebook, Initial Public Offering, Facebook Ipo Problems, Facebook Ipo Problem, Technology News

By Suzanne Barlyn and Ryan Vlastelica (Reuters) - Two top U.S. financial regulators said the issues around the initial public offering of Facebook ...

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JPMorgan Hires Ex-Government Enforcer To Help Probe Loss

Reuters | Posted 05.23.2012

Read More: JPMorgan Chase, Video, Jpmorgan-Probe, Jpmorgan-London-Whale, Reuters, Business News, William Mclucas, Sec, Jpmorgan-Chase-Trading-Loss, Jpmorgan Chase William Mclucas, Securities and Exchange Commission, Business News

May 22 (Reuters) - JPMorgan Chase & Co has hired former U.S. Securities and Exchange Commission enforcement chief William McLuca...

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JPMorgan Being Investigated Over 'Completeness' Of Bank's Financial Reporting

AP | MARCY GORDON | Posted 05.22.2012

Read More: Sec Jpmorgan, Jpmorgan Trading Loss, Video, Senate Banking Committee, Reuters, SEC Chairman Mary Schapiro, Sec, U.S. Securities and Exchange Commission, Jpmorgan Sec, Business News

WASHINGTON — Federal regulators are reviewing what JPMorgan Chase told investors about its finances and the risks it took weeks before suffering...

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Workers of the World Unite -- With Shareholders

Leo W. Gerard | Posted 05.21.2012

In the wake of Wall Street recklessness that caused economic collapse, Congress gave shareholders and citizens Dodd-Frank to help them constrain self-dealing corporate executives. The 99% Coalition and shareholders are working with those tools even as Republicans vow to take them away.

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Magnetar's Rap Sheet

ProPublica | Cora Currier | Posted 05.17.2012

Read More: Magnetar, Financial Crisis, Cdos, Video, Sec, Propublica, Hedge Funds, Business News

The hedge fund Magnetar helped create billions of dollars' worth of risky deals called collateralized debt obligations, many of which failed spectacul...

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Crowdfunding, a Burgeoning Phenomenon to Raise Money for Some Enterprises and Nonprofits

Jerry Chautin | Posted 05.17.2012

Kiki Karpus invests in start-ups and emerging businesses -- well, sort of. Instead of choosing the companies based upon the likelihood of their succes...

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Obama Has Signficant Assets In JPMorgan Account

Reuters | Posted 05.16.2012

Read More: JP Morgan Chase, White House, Video, Jp Morgan Jamie Dimon, Jp Morgan Scandal, Obama JP Morgan, Obama Jp Morgan Assets, Reuters, The View, Barack-Obama, Sec, Jamie Dimon, Securities and Exchange Commission, Barack Obama, Politics News

WASHINGTON, May 15 (Reuters) - U.S. President Barack Obama has $500,001 to $1 million in a JPMorgan Chase private client asset management checking a...

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Watchdog Suspended For Wanting To Carry A Gun

Reuters | Posted 05.11.2012

Read More: U.S. Securities and Exchange Commission, Video, Integrity Committee, Law Enforcement, At-Risk, Council of Inspectors General on Integrity and Efficiency, Federal Deposit Insurance Corp, David Weber, Reuters, Watchdog, Sec, Bullet Proof Vest, Special Counsel for Enforcement at the Office of the Comptroller of the Currency, Gryphon Strategies, Business News

(Adds background about investigation into Weber in a previous job and detail throughout) By Sarah N. Lynch WASHINGTON, ...

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SEC Slams Kwame Kilpatrick With Lawsuit

AP | MARCY GORDON | Posted 05.09.2012

Read More: MayfieldGentry Realty Advisors, Video, Detroit Corruption, Public Employee Pensions, Kwame Kilpatrick, Kwame Kilpatrick Pension Scheme, Jeffrey Beasley, SEC Kwame Kilpatrick, Detroit Mayor Kwame Kilpatrick, Sec, Securities and Exchange Commission, Kwame Kilpatrick SEC, Detroit Politics, Detroit News

WASHINGTON — Former Detroit Mayor Kwame Kilpatrick is facing federal civil charges of taking part in an influence-peddling scheme involving the ...

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'Frida' Producer Settles Insider Trading Charges

AP | Posted 05.08.2012

Read More: Mohammed Mark Amin, Video, Sec, Insider Trading, Dupont Fabros Technology, Hollywood Producer, Securities and Exchange Commission, Movies, Hollywood, Business News

WASHINGTON — A Hollywood producer and five of his relatives and friends have agreed to pay $1.9 million to settle civil insider-trading charges....

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SEC Watchdog To Be Investigated Over Allegations Of Sexual Misconduct

Reuters | Posted 05.09.2012

Read More: Bloomberg, Watchdogs, Video, Council of Inspectors General on Integrity and Efficiency, Reuters, Retirement Plan, Ponzi Scheme, Bernard Madoff, Sec, Securities and Exchange Commission, SEC's Office of the Inspector General, Financial Regulation, John Nester, Business News

* SEC has received complaint about misconduct in OIG * SEC says it is also referring matter to CIGIE for review * Allega...

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Bank of America Targeted By Protesters And Investors As SEC Weighs Political Spending Rule

HuffingtonPost.com | Zach Carter | Posted 05.07.2012

WASHINGTON -- As the Securities and Exchange Commission considers requiring corporations to disclose their political spending to shareholders, a coali...

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Money Well Spent: Why Corruption Continues to Pay

Chris Morgan Jones | Posted 05.04.2012

Read More: Corruption, Walmart, Doj, Mexico, Bribery, Sec, Siemens, Fcpa, Business News

The victims of crimes of corruption are diffuse, invisible, and often vulnerable: every dollar paid in bribes tilts the scales further against the most unfortunate in societies where fairness frequently goes unprized.

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SEC Begins Inquiry Into Chesapeake Energy

AP | Posted 05.03.2012

Read More: Energy, Video, Chesapeake Energy Inquiry, Aubrey Mclendon Chesapeake, Aubrey Mclendon Sec, Aubrey Mclendon Chairman, Chesapeake Energy, Chesapeake, Sec, Aubrey Mclendon Ceo, Aubrey McClendon, Securities and Exchange Commission, Ap, Green News

NEW YORK (AP) — The Securities and Exchange Commission is reviewing a compensation program at Chesapeake Energy Corp. that created potential conflic...

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SEC 'Courageously Assails' Small Ratings Agency, Leaves Downturn Culprits Unmolested

HuffingtonPost.com | Jason Linkins | Posted 05.03.2012

Read More: Eat the Press, Regulatory Capture, Credit Derivatives, Financial Oversight, Ratings Agencies, Financial Crisis, Sec, Egan-Jones, Securities and Exchange Commission, Financial Regulation, Business News

If you're like me, you may have noticed the curious way our Wall Street watchdogs tend to operate. For example, a comparison: Harry Markopolos can gif...

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