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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
  • Chesapeake Oilfield Services pulls IPO plans

    (Reuters) - Chesapeake Oilfield Services, a unit of Chesapeake Energy Corp , said on Friday it would withdraw its plans for an initial public offering. The Oklahoma-based company, in a filing with the U.S. Securities and Exchange Commission, did not...
  • Ex-Bank of New York Mellon employee pleads guilty to insider trading

    NEW YORK (Reuters) - A former Bank of New York Mellon Corp employee on Friday pleaded guilty to insider trading based on tips from a former Merck & Co Inc employee about potential pharmaceutical mergers. Federal prosecutors in New York said David Post,...
  • SEC rejects NYSE proposal to list 'non-transparent' ETFs

    NEW YORK (Reuters) - U.S. regulators on Friday rejected a proposal from the NYSE Arca exchange to be able to list and trade actively managed exchange-traded funds that do not have to disclose their holdings on a daily basis. The move follows the U.S....
  • Fannie Mae settles shareholder lawsuit for $170 million

    NEW YORK (Reuters) - Fannie Mae has reached a $170 million settlement of a lawsuit accusing it of misleading shareholders about its finances, risk management and mortgage exposure before it was seized by the U.S. government during the 2008 financial...
  • Google commits to $1 billion in long-term office leases

    Google commits to $1 billion in long-term office leases
    Google Inc said it is committed to spending $1 billion to lease office buildings over the next 13 to 14 years. Google did not say where the office buildings were located in its disclosure as part of its quarterly regulatory filing with the U.S....
  • Wall Street watchdog, US states mull new system to clean up brokers' records

    LA QUINTA Calif. (Reuters) - Wall Street's industry-funded watchdog and U.S. state securities regulators are considering whether to develop a new type of regulatory process for brokers to follow for erasing complaints from their public records, an...
  • T. Rowe Price earnings rise 12 percent in third quarter

    T. Rowe Price earnings rise 12 percent in third quarter
    Despite market swings that reduced the assets it manages, T. Rowe Price Group Inc.'s earnings rose 12 percent in the third quarter of 2014, driven by a rise in investment advisory revenues. The money manager made $303.6 million in the quarter ended Sept....
  • Exclusive: U.S. stock options markets agree to need for trading halts on big moves

    NEW YORK (Reuters) - U.S. options market operators have agreed in recent months on the need for new automatic trading halts when stock options prices suddenly surge or plunge, in a bid to reduce excess volatility and blunt the impact of erroneous trades,...
  • JPMorgan was alerted of hiring concerns in China before U.S. probe: WSJ

    (Reuters) - JPMorgan Chase & Co executives in New York were aware of potential problems tied to its recruitment practices in China well before U.S. regulators launched a probe into the issue, the Wall Street Journal reported, citing sources and...
  • Divided SEC adopts mortgage rule, decries lax lending

    WASHINGTON (Reuters) - U.S. securities regulators adopted a rule on Wednesday designed to avert another financial crisis, but two officials dissented, saying it did not do enough to discourage banks from lending to borrowers with shaky credit and then...
  • U.S. SEC plans to deny proposals for 'non-transparent' ETFs

    NEW YORK (Reuters) - U.S. regulators said they plan to deny proposals for a new breed of actively managed exchange-traded funds that want to keep their holdings secret for months at a time. It would be the latest setback for a rule change that many in...