COLUMBUS, Ohio — Federal regulators have not done enough to ensure that shareholders are aware of material risks to companies from greenhouse ga...
Mindy S. Lubber | Posted 07.04.2009 | Business
Which U.S. companies are best positioned to lead the pack in the great green race for a low carbon future?
Harleen Kahlon | Posted 09.02.2009 | Business
This letter to the SEC prepared by Jim Cramer, Eric Oberg, Scott Rothbort and Bill Furber, who are in favor of reinstating the Uptick Rule, has been e...
nytimes.com | STEPHEN LABATON | Posted 07.02.2009 | Business
WASHINGTON -- The Obama administration will soon propose a comprehensive plan to expand the authority of the government to seize large troubled compan...
Washington Post | Zachary A. Goldfarb | Posted 07.01.2009 | Politics
The five enforcement officials caught a morning Acela train bound for Washington. Based at the New York office of the Securities and Exchange Commissi...
Ron S. Geffner | Posted 06.26.2009 | Business
There is no regulatory agency nor are any of our elected officials without blood on their hands. Each has contributed to the economic crisis.
Arianna Huffington | Posted 06.25.2009 | Politics
In the same way that candidates in the 2008 race had to declare that, like Obama, they were for change, today everyone is for reform of our financial system. But the question is: are we going to get real reform or are we going to get the DC version of "reform"?
Raymond J. Learsy | Posted 06.23.2009 | Business
Gensler will have to move away from the agency's "head in the sand" policy of recent years, while defending commodity futures trading against accusations of undue influence.
AP | MARCY GORDON | Posted 06.20.2009 | Business
WASHINGTON — The head of the Securities and Exchange Commission is objecting to a plan being weighed by the Obama administration to create a new...
bloomberg.com | Robert Schmidt and Jesse Westbrook | Posted 06.20.2009 | Business
May 20 (Bloomberg) -- The Obama administration may call for stripping the Securities and Exchange Commission of some of its powers under a regulatory ...
Washington Post | Zachary A. Goldfarb | Posted 06.16.2009 | Business
A Securities and Exchange Commission official attempted "to intimidate and influence" a family member's broker on multiple occasions by invoking her p...
CBS News | Posted 06.14.2009 | Business
CBS News has learned that two attorneys at the Securities and Exchange Commission (SEC) are under "active" criminal investigation by the FBI for tradi...
AP | MARCY GORDON | Posted 06.14.2009 | Business
WASHINGTON — Federal regulators on Thursday proposed requiring most investment advisers to submit to surprise exams by outside auditors, a move ...
Michael B. Laskoff | Posted 06.14.2009 | Business
Let's think of derivatives like plutonium and the financial system as a nuclear power plant. By all means, use the fuel but never, ever forget its awe-inspiring capacity to wreak destruction.
Norb Vonnegut | Posted 06.14.2009 | Business
FINRA and the SEC are compounding a problem -- they're regulating unevenly. The result is that bad guys have a place to hide -- or to reinvent themselves.
Business Insider | Joe Weisenthal | Posted 06.13.2009 | Business
The man who was once lauded as the greatest friend to the homeowner for happily extending credit to anyone with a pulse is looking at possible civil f...
TPMMuckraker | Moe Tkacik | Posted 06.08.2009 | Business
The agency got more tips from FINRA -- the financial industry's self-regulator -- than it had the resources to pursue, it lost 11.5% of its lawyers si...
Bloomberg | Jesse Westbrook | Posted 06.02.2009 | Business
The U.S. Securities and Exchange Commission should be given authority to regulate what hedge funds can buy and how much money they can borrow to maxim...
Diane Francis | Posted 05.29.2009 | Business
Credit rating agencies contributed to the current economic collapse. They were paid fees by banks who sometimes pressured or shopped around for the most favorable risk assessments, an obvious conflict of interest.
Bloomberg | Jesse Westbrook | Posted 05.22.2009 | Business
April 21 (Bloomberg) -- The U.S. Securities and Exchange Commission is considering rules to restrict money managers from paying to win state business ...
courthousenews.com | ELIZABETH BANICKI | Posted 05.16.2009 | Business
(CN) - Seven leaders of a church in Queens, N.Y., defrauded elderly parishioners of more than $12 million by encouraging them to invest in hedge funds...
AP | MARCY GORDON | Posted 05.16.2009 | Business
WASHINGTON — The head of the Securities and Exchange Commission said Wednesday the agency must do more to tighten oversight of Wall Street's cre...
David Fiderer | Posted 05.16.2009 | Business
Why would Merrill's senior management, with BofA's acknowledgment, base their internal year-end projections on the assumption that securities prices would recover so sharply?
New York Times | ZACHERY KOUWE | Posted 05.09.2009 | Business
Seeking to restore investor confidence in the markets, securities regulators made several proposals on Wednesday that would restrict investors from be...
bloomberg.com | Posted 05.04.2009 | Business
April 3 (Bloomberg) -- The U.S. Securities and Exchange Commission is considering dictating when traders can bet that stocks will fall, after lawmaker...
AP | MARK WILLIAMS | Posted 07.04.2009 | Green