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US Securities and Exchange Commission

Big Bank To Pay Up Over Charges It Misled Investors

Reuters | Jonathan Stempel | Posted 08.06.2013 | Business

(Reuters) - UBS AG agreed to pay $49.8 million to settle U.S. Securities and Exchange Commission charges it misled investors about a mortgage bond tra...

'Kill Switches' Not 'The Big Red Easy Button'

Reuters | Posted 12.03.2012 | Business

* SEC convenes roundtable following Knight error * Executives broadly support concept of kill switches By Sarah N. Lynch...

Feds Approve Plan To Prevent Another Sudden Stock Market Crash

Reuters | Posted 08.01.2012 | Business

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

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

AP | MARCY GORDON | Posted 07.22.2012 | Business

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

Ex-Yahoo Director Charged With Insider Trading

Reuters | Basil Katz | Posted 07.23.2012 | Business

By Basil Katz (Reuters) - Federal prosecutors on Monday announced insider trading charges against a former Yahoo employee and a fund ma...

Watchdog Suspended For Wanting To Carry A Gun

Reuters | Posted 07.10.2012 | Business

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

Mexico Unlikely To Investigate Walmart Bribery Allegations

Reuters | Posted 06.24.2012 | Business

MEXICO CITY, April 24 (Reuters) - Nearly half of Mexico's state prosecuting authorities said on Tuesday they had no immediate plans to investigate a...

BATS CEO: IPO Debacle 'Completely Regrettable And Very Painful'

Reuters | Posted 05.25.2012 | Business

(Recasts; adds details) By Jonathan Spicer NEW YORK, March 25 (Reuters) - U.S. exchange operator BATS Global Markets withdrew its initial...

Automaker CEO Suddenly Way Richer

Reuters | Posted 05.06.2012 | Business

By Deepa Seetharaman March 6 (Reuters) - Ford Motor Co Chief Executive Alan Mulally was awarded shares in the No. 2 U.S. automaker wh...

Bank Loan Rates Could Spike Following Money Market Rules

Reuters | Posted 04.08.2012 | Business

By Karen Brettell NEW YORK, Feb 7 (Reuters) - The cost for banks and other borrowers to raise funds in short-term markets could jump ...

BofA Arm Loses Big In Customer Lawsuit

Reuters | Posted 04.02.2012 | Business

(Adds details) By Suzanne Barlyn Feb 1 - Bank of America Corp's Merrill Lynch unit must pay nearly $1.4 million in dama...

How Ex-SEC Officials Aided A Ponzi-Schemer

Reuters | Posted 03.28.2012 | Business

(Refiles to fix typo in story list) * Former SEC attorneys worked for Ponzi-scheme suspect By Murray Waas ...

Major Regulator Loses Top Watchdog

Reuters | Posted 03.18.2012 | Business

WASHINGTON, Jan 17 (Reuters) - David Kotz, the inspector general at the U.S. Securities and Exchange Commission who has a reputation as a tough watc...

Regulators Need To Clarify Stance On High-Frequency Trading, NYSE Exec Says

Posted 11.12.2011 | Business

(Jonathan Spicer) - It's time for market regulators to clear the air on high-frequency trading, a top Big Board executive said. NYSE Euronext's...

Ex-Playboy CEO's Husband Settles In Insider Trading Case

Posted 10.03.2011 | Business

NEW YORK ( Jonathan Stempel) - The husband of former Playboy Enterprises Inc Chief Executive Christie Hefner agreed to pay $168,352 to settle regu...

After Mistakes With Madoff, Regulators Modernize Handling Of Tips

Posted 09.26.2011 | Business

(Sarah N. Lynch and Matthew Goldstein) - For more than three years, U.S. securities regulators investigated allegations of accounting fraud at a s...

SEC Subpoenas JPMorgan Over Failed Mortgages

Posted 07.06.2011 | Business

JPMorgan Chase & Co has received a subpoena from the U.S. Securities and Exchange Commission over failed mortgages, Bloomberg said, citing a perso...