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Securities Exchange Commission

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.

Former IndyMac Execs Charged With Fraud By SEC

AP | MARCY GORDON | Posted 05.25.2011 | Business

WASHINGTON — Federal regulators filed civil fraud charges Friday against three former executives of the parent of IndyMac Bank, accusing them of mis...

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...

2 Schwab Units Paying $118.9M In SEC Settlement

AP | MARCY GORDON | Posted 05.25.2011 | Business

WASHINGTON — Charles Schwab Corp. on Tuesday agreed to pay $118.9 million to settle regulators' civil charges over disclosure of the risks of a ...

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.

SEC Cleared On Timing Of Goldman Lawsuit, But Agency Tried To Maximize Press

AP | MARCY GORDON and DANIEL WAGNER | Posted 05.25.2011 | Business

WASHINGTON — The watchdog of the Securities and Exchange Commission has found no hard evidence that the SEC timed the announcement of its fraud case...

Ex-'Car Czar' Reportedly Close To Settlement On Pay-To-Play Scandal

AP | MARCY GORDON | Posted 05.25.2011 | Business

WASHINGTON — The Securities and Exchange Commission on Thursday postponed a vote to settle a case with the Obama administration's former auto in...

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. ...

SEC Looking Into Possible BP Securities Violations

AP | By PETE YOST | Posted 05.25.2011 | Business

WASHINGTON -- BP says the Securities and Exchange Commission and the Justice Department are conducting informal inquiries into securities matters aris...

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

bloomberg.com | 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...

The SEC Wants To Know How Hedge Funds Are Using Deriavtives

AP | Posted 05.25.2011 | Business

...

SEC's Tougher Financial Regulations Have Been Stalled For More Than A Year

washingtonpost.com | 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 ...

Bradd Morrice, Patti Dodge And David Kenneally, Ex-New Century Execs, Charged With Misleading Investors By SEC

AP | MARCY GORDON | Posted 05.25.2011 | Business

WASHINGTON — Federal regulators on Monday accused three former top executives of collapsed mortgage lender New Century Financial Corp. of fraud,...

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...

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...

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...

In Testimony, Moody's Exec Denies Claims Of Inflated Ratings

AP | MARCY GORDON | Posted 05.25.2011 | Business

WASHINGTON — A key House lawmaker wants to make credit rating agencies – widely criticized for failing to give investors adequate warning ...

FINALLY: SEC Proposed New Rules For Credit Rating Agencies

AP | MARCY GORDON | Posted 05.25.2011 | Business

WASHINGTON — Regulators on Thursday proposed rules designed to stem conflicts of interest and provide more transparency for credit rating compan...