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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 12-22
  • Just how did big banks get that win in Washington?

    WASHINGTON The rollback this week of a key part of Wall Street regulation adopted after the 2008 financial collapse caught much of Washington by surprise, creating an uproar among liberals who called it a payoff to big banks, threatening to derail a...
  • Sen.-elect Ted Kennedy's Former Firm Being Investigated For Insider Trading

    Sen.-elect Ted Kennedy's Former Firm Being Investigated For Insider Trading
    Senator-elect Ted Kennedy Jr.'s former healthcare consulting firm is being investigated for insider trading, officials said Thursday. The firm is disputing that it did anything illegal and said the case "makes no sense." The U.S. Securities and Exchange...
  • BlackRock's Fink applauds SEC plan to scrutinize industry

    BlackRock's chief executive Larry Fink said he applauds the U.S. Securities and Exchange Commission's plans to step up scrutiny of the risks posed by large asset managers, saying it was a better step than singling out specific firms as posing systemic...
  • Asset managers could face tighter supervision under new plan: SEC

    The top U.S. securities regulator laid out a plan on Thursday to tighten supervision of large asset managers, saying more must be done to identify the risks the firms could pose and to protect markets in the event of a major crisis. Securities and...
  • Trading venue IEX urges reform of stock exchange governance

    IEX Group Inc, a stock-trading venue featured in Michael Lewis's book "Flash Boys" that plans to soon become an exchange, is urging reforms to U.S. exchange governance that would put it at odds with its soon-to-be brethren. In a letter to the...
  • Ted Kennedy's Former Firm Being Investigated By SEC

    Ted Kennedy's Former Firm Being Investigated By SEC
    Senator-elect Ted Kennedy Jr.’s former healthcare consulting firm is being investigated for insider trading, officials said Thursday. The firm is disputing that it did anything illegal and said the case “makes no sense.” The U.S....
  • Among Chicago's public companies, it's still a man's world

     Among Chicago's public companies, it's still a man's world
    This is what stagnation looks like. As of 2013, nearly 85 percent of the executive officers at the 50 largest publicly traded companies in Chicago were men. And 82 percent of the directors of those companies were men. Continuing a four-year trend,...
  • Wall Street watchdog gift rules could get makeover

    Wall Street's industry-funded regulator, in step with the holiday season, has made new recommendations for possible changes to its rules about how securities brokers give and receive gifts. The recommendation on Tuesday to retool the gift rules is part...
  • Tribune Media to begin trading Friday on NYSE

    Tribune Media to begin trading Friday on NYSE
    Tribune Media is set to begin trading Friday on the New York Stock Exchange under the symbol TRCO. The Chicago-based media company announced Tuesday it has received approval from the Securities and Exchange Commission to list its stock on the NYSE,...
  • Shrewd hackers are pursuing information on mergers, security firm says

    A sophisticated group of hackers is taking advantage of the current mergers-and-acquisitions boom to target publicly traded companies and their executives involved in pending deals, a new study says. More than 100 firms have been targeted since at least...
  • SEC leader warns South Florida about investment fraud

    SEC leader warns South Florida about investment fraud
    A U.S. Securities and Exchange Commission director will speak Saturday about the perils of investment fraud, a topic she says is particularly troublesome in South Florida. The nonprofit group Better Investing is bringing Lori Schock, the SEC's...