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Securities Exchange Commission

The São Paulo Stock Exchange Expansion Would Be a Good Move

Susan Perkins | Posted 03.08.2015 | Latino Voices
Susan Perkins

Though the LatAm capital markets are fighting to ward off further downward movement due to stumbling oil prices and weakening currencies, one long-term strategy that will continue to bring more liquidity to these markets is better corporate governance practices.

Thinking of Investing Through Crowdfunding?

Shane Paul Neil | Posted 12.22.2014 | Business
Shane Paul Neil

It's important that all investors use their 'investment sense' with proper due diligence prior to involvement and before paying for any offered security. Otherwise, investors stand to lose it all.

Crowdfunding Isn't Legal Yet, Regulators Say

Reuters | Posted 06.28.2012 | Small Business

(Reuters) - Some entrepreneurs are becoming so anxious to sell securities in their companies through crowdfunding sites that they are courting investo...

Too Big to Fail and the Volcker Rule

Ted Kaufman | Posted 05.05.2012 | Politics
Ted Kaufman

Universal agreement on a goal -- no possibility of a future bank bailout -- doesn't necessarily mean that goal will be achieved. Our major banks are still too big to fail.

OWS Meets Citizens United

Ciara Torres-Spelliscy | Posted 12.18.2011 | Politics
Ciara Torres-Spelliscy

My sign read, "I'm a campaign finance lawyer. Ask me about Citizens United + its solutions." I was there for 2.5 hours. Every few minutes someone would sheepishly come up and ask, "ok, what's Citizens United?"

Congress and the SEC's Starvation Diet

Bevis Longstreth | Posted 05.25.2011 | Business
Bevis Longstreth

It ill serves the public welfare for a governmental entity to pretend to be protecting the public when, in fact, it cannot do so because it is so egregiously underfunded and unsupported.

Merrill Paying Millions To Settle SEC Fraud Charges

The Huffington Post | Lila Shapiro | Posted 05.25.2011 | Business

Without admitting or denying any wrongdoing, Bank of America Corp.'s Merrill Lynch unit has agreed to pay $10 million to settle the Securities and Exc...

Top SEC Official Probed For Role In Citi Settlement

Bloomberg | Joshua Gallu | Posted 05.25.2011 | Business


Why Corporate Counsel Must Implement Stringent Corporate Anti-Corruption Policies in 2011

Ben Kerschberg | Posted 05.25.2011 | Business
Ben Kerschberg

As we turn the corner into the new year, corporate counsel need to identify important legal issues facing their companies in 2011.

The Crowdfunding Revolution Will Democratize Venture Investing

Kevin Lawton | Posted 05.25.2011 | Business
Kevin Lawton

It's no secret that venture capital and angel investing is 'clubby,' dominated mostly by middle-aged men. According to a 2007 study of angel investo...

How Former SEC Chairman Levitt "Ducked" on Financial Regulation (videos)

Iris Mack | Posted 05.25.2011 | Business
Iris Mack

Congress "ducked" on financial regulation, neglecting to solve the problems that caused the financial crisis, former SEC chairman Arthur Levitt said. ...

Goldman Sachs Preparing Point-By-Point Defense Of SEC's Charges

CNBC | John Carney | Posted 05.25.2011 | Business

Goldman Sachs is preparing to file a full-blown, point-by-point defense against the fraud allegations filed by the Securities and Exchange Commission,...

After Goldman Give Up, Why Would Wall Street Be Scared of SEC?

Don McNay | Posted 05.25.2011 | Business
Don McNay

My father was a professional gambler and used to carry a roll of money that he called "walking around" money. Walking around money is what the SEC settled for in the Goldman Sachs case today.

Levitt, Breeden, Ex-SEC Chiefs: The Financial Reform Bill WOULDN'T Have Stopped The 2008 Crisis | Jesse Westbrook and Otis Bilodeau | Posted 05.25.2011 | Business

une 16 (Bloomberg) -- Congress's proposed overhaul of U.S. bank regulation wouldn't have averted the 2008 financial crisis and does too little to prev...

SEC's Tougher Financial Regulations Have Been Stalled For More Than A Year | Zachary A. Goldfarb | Posted 05.25.2011 | Business

But more than a year after Schapiro took office, the SEC has not yet written into the Wall Street rulebook the short-selling limits -- or most of the ...

Robert Khuzami: SEC Prosecutor Wall Street's Latest Enforcer

Posted 05.25.2011 | Business

Wall Street's wrongdoers may have officially met their match. After less than six months on the job, Robert Khuzami, the newly appointed top prosecuto...

Goldman Sachs Seizing Homes Subprime Mortgages Bought

McClatchy | Greg Gordon | Posted 05.25.2011 | Business

Goldman spent years buying hundreds of thousands of subprime mortgages, many of them from some of the more unsavory lenders in the business, and packa...

Barry Rithotlz: Giving The SEC Teeth

The Big Picture | Posted 05.25.2011 | Business

By Barry Ritholtz Note: this post also appeared on Ritholtz's blog, The Big Picture. The problems at the SEC were decades in the making. The a...

Newsweek: Madoff Report Indicted Entire Regulatory System | Michael Hirsh | Posted 05.25.2011 | Business

In the days immediately after Bernie Madoff's arrest, some enforcement experts I talked to speculated that the errant financier might have been an hon...

Madoff Scald: SEC Inspector-General Meets With Fraudster

Jun. 18, 2009 | Posted 05.25.2011 | Business

NEW YORK (CNN) -- Admitted fraudster Bernard Madoff, the mastermind of history's biggest Ponzi scheme, had a three-hour meeting with the Securities an...

Obama Near Proposal To Revamp Financial Regulations | STEPHEN LABATON | Posted 05.25.2011 | Business

WASHINGTON -- The Obama administration will soon propose a comprehensive plan to expand the authority of the government to seize large troubled compan...

The Post-Madoff, Post-TARP Future of Financial Regulation

Jay Mandle | Posted 05.25.2011 | Politics
Jay Mandle

In this age of deregulation, it's been unfashionable to regulate even such things as power plants like public utilities, let alone financial markets. But it's time for that sort of regulation to come back into style.