U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
Bats Global Markets has just received approval from the SEC for the Bats Client Suspension Rule, which assists the company in taking swifter action to prohibit manipulative behavior.
Published:
Last Updated:
The SEC has announced a global settlement that requires telecommunications provider VimpelCom to pay over $795 million to resolve its violations of the Foreign Corrupt Practices Act.
Published:
Last Updated:
The SEC has charged biopesticide company Marrone Bio Innovations and a former executive with inflating financial results.
Published:
Last Updated:
The SEC recently charged a former Deutsche Bank research analyst with certifying a rating on a stock that was inconsistent with his personal view.
Published:
Last Updated:
The SEC has announced that a Massachusetts-based technology company and its Chinese subsidiaries have agreed to pay over $28 million over violations of the Foreign Corrupt Practices Act.
Published:
Last Updated:
The SEC has charged an unregistered broker in Oceanside, Calif., with fraudulently selling purported stock in a medical device company and pocketing investors' money.
Published:
Last Updated:
Shares of Boeing ran into a stiff headwind Thursday morning following a report from Bloomberg that the U.S. Securities and Exchange Commission (SEC) is investigating a whistleblower complaint
Published:
Last Updated:
New SEC rules would help ensure that U.S. and foreign dealers are subject to Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act when engaged in security-based swap dealing...
Published:
Last Updated:
The SEC has announced that St. Louis-based agribusiness Monsanto has agreed to pay an $80 million penalty and retain an independent compliance consultant to settle charges.
Published:
Last Updated:
The SEC alleged that Dennis Wayne Hamilton made more than $130,000 in illegal profits by trading on nonpublic information he learned on the job.
Published:
Last Updated:
Reata Pharmaceuticals has amended filing with the U.S. Securities and Exchange Commission (SEC) regarding its initial public offering (IPO).
Published:
Last Updated:
The SEC has announced fraud charges against American Growth Funding, a Manhattan-based lending company, and its owner is accused of repeatedly lying to investors purchasing high-yield securities.
Published:
Last Updated:
The SEC has announced that a Miami-based brokerage firm has agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules.
Published:
Last Updated:
The SEC has announced the members of its Advisory Committee on Small and Emerging Companies.
Published:
Last Updated:
The SEC recently announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities.
Published:
Last Updated: