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U.S. Securities and Exchange Commission

A collection of news and information related to U.S. Securities and Exchange Commission published by this site and its partners.

Top U.S. Securities and Exchange Commission Articles

Displaying items 1-11
  • Risky CPS debt raises questions about SEC protections for governments

     Risky CPS debt raises questions about SEC protections for governments
    Many investors in the auction-rate market — who were unable to cash out when the market collapsed — got their money back after the Securities and Exchange Commission alleged that bank officials had hidden how precarious the market was. Banks...
  • Some have recouped millions from risky type of debt that plagues CPS

     Some have recouped millions from risky type of debt that plagues CPS
    With risky debt deals draining money from Chicago's cash-strapped public school system, advocacy groups are calling on local officials to try to get some of that money back. Chicago Mayor Rahm Emanuel dismissed the idea in remarks to reporters last...
  • S&P nears settlement on real-estate bond ratings: WSJ

    Standard & Poor's Ratings Services is nearing a settlement with regulators over their investigation of how the company graded real-estate bonds, the Wall Street Journal reported, citing people familiar with the matter. The proposed deal, which could be...
  • Jeb Bush eases out of some businesses, such as firm helped by Obamacare

    Jeb Bush eases out of some businesses, such as firm helped by Obamacare
    When Jeb Bush completed two terms as governor of Florida in 2007, he reported his net worth at $1.3 million, about $700,000 less than when he took office. Today, nearly eight years later, he is a wealthier man. He has plunged into business and...
  • Man's pardon withdrawn after Times discloses financial regulators' censure

    Man's pardon withdrawn after Times discloses financial regulators' censure
    Gov. Jerry Brown withdrew a Christmas Eve pardon Wednesday after learning from the Los Angeles Times that he was granting clemency to a man recently disciplined by financial regulators. Glen Williams Carnes, one of 105 people who received an executive...
  • Shareholders expected to bless Walgreen-Boots deal

    Shareholders expected to bless Walgreen-Boots deal
    Walgreen plans to tie a bow around the acquisition of European counterpart Alliance Boots by the end of the year, announcing the results of a shareholder vote Monday at a meeting in New York. Walgreen bought a 45 percent stake in the Switzerland-based...
  • SEC's new investor watchdog lays out risky products for 2014

    SEC's new investor watchdog lays out risky products for 2014
    The U.S. securities investor watchdog office on Tuesday unveiled its list of the top products and practices that bedeviled mom and pop investors in 2014. In an annual report on market activities, the Securities and Exchange Commission's Office of the...
  • U.S. retail brokers warn 'tick size' plan to boost investor costs

    A plan by the U.S. Securities and Exchange Commission to widen the minimum trading increments of some small-cap stocks to test if that would spur more trading could end up harming mom-and-pop investors, retail brokerages said in letters to the regulator....
  • Netflix Cuts CEO Reed Hastings Salary

    Netflix said co-founder and CEO Reed Hastings' baseline salary would be $1 million in 2015 -- down from $3 million this year -- in a regulatory filing. At the same time, Hastings next year will receive an annual stock-option allowance worth up to $13.7...
  • Derivatives exchanges prove resistant to regulatory change

    In December 2013, Hanmag Securities Corp, a small South Korean brokerage firm, lost 46 billion won ($42 million) in a day after a stock option trading algorithm went bad. It was a fatal blow for a company that had just 15 billion won of capital —...
  • Phoenix Finance Chief Receives Bonus Despite Delay In Deadline

    The Phoenix Cos. gave its chief financial officer an $87,500 cash bonus for filing quarterly financial reports with the U.S. Securities and Exchange Commission in a timely manner even though one of two reports was filed after an initial deadline. The...