SEC

SEC names public pension enforcer

LeeAnn Gaunt was appointed chief of the SEC enforcement division’s municipal securities and public pensions unit.

November 08, 2013 | 03:58 pm
S.A.C. accepts guilt for insider trading in $1.8 billion SEC settlement

S.A.C. accepts guilt for insider trading in $1.8 billion SEC settlement

S.A.C. Capital Advisors and three affiliated companies will plead “guilty to every count” of an insider-trading indictment and will pay an additional $1.2 billion to settle charges.

November 04, 2013 | 02:27 pm

Knight Capital to pay $12 million in trading glitch case

Knight Capital Americas LLC will pay $12 million to settle charges brought by the SEC over a computer trading glitch that cost the company as much as $460 million in erroneous trading orders in...

October 16, 2013 | 03:16 pm
Easing trading risks from market fragmentation and tech arms race

Easing trading risks from market fragmentation and tech arms race

The August interruption in Nasdaq service is merely the latest example of the increasing instability of the U.S. equity market.

October 14, 2013
SEC enforcement division expertise has improved, officials say

SEC enforcement division expertise has improved, officials say

The Securities and Exchange Commission enforcement division has improved its market expertise and enforcement record, current and former enforcement officials gathered in Washington agreed Wednesday.

October 09, 2013 | 03:59 pm
Jobs Act IPOs need careful eye, some say

Jobs Act IPOs need careful eye, some say

Some industry experts are warning investors to remain cautious of a provision of the JOBS Act that allows companies with less than $1 billion in revenue to file for initial public offerings...

September 30, 2013
SEC cites Timbervest for unauthorized transactions

SEC cites Timbervest for unauthorized transactions

The SEC has filed an administrative and cease-and-desist order alleging that timber manager Timbervest LLC engaged in unauthorized transactions and that its chief investment officer, Walter William...

September 27, 2013 | 02:52 pm
White: SEC to crack down on sophisticated trading, dark pools

White: SEC to crack down on sophisticated trading, dark pools

The SEC plans to bring more actions on trading, Mary Jo White, SEC chairwoman said Thursday before some 400 attendees at the Council of Institutional Investors conference in Chicago.

September 26, 2013 | 01:51 pm
CEO-to-worker pay ratio disclosure proposed by SEC

CEO-to-worker pay ratio disclosure proposed by SEC

A divided U.S. Securities and Exchange Commission proposed that public companies disclose how much more their chief executives earn than rank-and-file workers.

September 18, 2013 | 02:59 pm
SEC settles with 22 firms over short selling

SEC settles with 22 firms over short selling

Ontario Teachers' Pension Plan, Toronto, is one of 22 investment bodies settling enforcement actions related to short selling, the SEC announced Tuesday.

September 17, 2013 | 03:39 pm
Institutions fighting money market proposals

Institutions fighting money market proposals

An attempt by the Securities and Exchange Commission to put more safeguards on money market funds is generating caution and resistance from lobbyists for pension funds and institutional money...

September 16, 2013
Falcone, Harbinger Capital to pay $18 million in deal with SEC

Falcone, Harbinger Capital to pay $18 million in deal with SEC

Hedge fund manager Philip A. Falcone and his firm, Harbinger Capital Partners, will pay more than $18 million and admit wrongdoing in a settlement the SEC announced Monday.

August 19, 2013 | 04:29 pm
CalPERS pushes SEC to act to improve investor protection, market regulation

CalPERS pushes SEC to act to improve investor protection, market regulation

CalPERS urged the SEC to strengthen investor protection, accountability, disclosure and market regulation by addressing key priorities that would promote long-term value creation.

August 14, 2013 | 02:48 pm
Rominger joins firm that supports corporations in governance issues

Rominger joins firm that supports corporations in governance issues

Eileen Rominger joined CamberView Partners as a senior adviser to the firm, which provides corporate governance and proxy voting consulting services to corporations in contested...

August 13, 2013 | 02:25 pm
SEC chief's aggressive moves show she's more than just a tough talker

SEC chief's aggressive moves show she's more than just a tough talker

SEC Chairman Mary Jo White, true to her prosecutor roots, is pushing for more accountability in enforcement settlements, part of her confirmation pledge to make enforcement “bold and...

August 05, 2013