U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The U.S. Securities and Exchange Commission (SEC) recently announced insider trading charges against a San Francisco-based IT specialist who allegedly hacked senior executives at online travel...
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The U.S. Securities and Exchange Commission (SEC) recently announced that a whistleblower has been awarded roughly $3.5 million for coming forward with meaningful information that led to an SEC...
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The SEC has announced that investment management firm PIMCO agreed to retain an independent compliance consultant and pay roughly $20 million to settle charges of misleading investors.
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The SEC has announced that the parent of United Airlines has agreed to pay more than $2 million to settle charges in a case where shareholders wound up footing the bill so a public official could get...
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The U.S. Securities and Exchange Commission (SEC) recently announced fraud charges and an asset freeze against Miami Beach-based asset management company Onix Capital and owner Alberto Chang-Rajii, a...
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The U.S. Securities and Exchange Commission announced that its Chief Accountant James Schnurr intends to retire from the agency. In his place, Wesley R. Bricker will take his place. Schnurr began as...
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The SEC has filed fraud charges against four individuals and others who allegedly profited by defrauding investors in a cash-strapped California-based renewable energy company.
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The U.S. Securities and Exchange Commission (SEC) recently announced that JPMorgan Chase & Co. (NYSE: JPM) has agreed to pay over $130 million to settle charges that it won business from clients...
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The U.S. Securities and Exchange Commission (SEC) recently voted to approve a national market system (NMS) plan to create a single, comprehensive database known as the consolidated audit trail (CAT)....
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SEC Chair Mary Jo White, after nearly four years as the agency’s head, has announced that she intends to leave at the end of the Obama administration.
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The U.S. Securities and Exchange Commission recently announced that it has given an award of more than $20 million to a whistleblower who promptly came forward with valuable information that enabled...
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The SEC recently announced that an Israeli-based firm must pay more than $1 million for misleading investors into trading binary options over the internet.
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Athene Holding has amended its filing with the U.S. Securities and Exchange Commission (SEC) for its initial public offering (IPO).
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The SEC has made available additional economic analysis related to the agency’s proposed rule regarding the use of derivatives by registered funds and business development companies.
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The U.S. Securities and Exchange Commission (SEC) recently charged the co-founder of a Minnesota-based energy company with manipulating its stock price and concealing his control of the company to...
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