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US Securities and Exchange Commission

Green Billionaires Club? David Vitter Owns Stock in Coal Utilities Fighting EPA Carbon Rules

Steve Horn | Posted 10.08.2014 | Green
Steve Horn

Critics of the report say it is propaganda designed to skewer the Obama EPA and environmental philanthropists for "conspiring to help the environment."

Heather Zichal, Former Obama Energy Aide, Named to Board of Fracked Gas Exports Giant Cheniere

Steve Horn | Posted 08.20.2014 | Green
Steve Horn

Cross-Posted from DeSmogBlogHeather Zichal, former Obama White House Deputy Assistant to the President for Energy and Climate Change, may soon walk ou...

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...