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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 45-55
  • At Energy Transfer, shale boom brings big growth and big debt

    In 2009, Kelcy Warren's Energy Transfer companies were relatively small-time players in the pipeline industry, a less than 2-decade-old operation still focused on transporting natural gas around Texas. Five years later they command one of the largest...
  • SEC investigates fund managed by Pimco 'bond king' Bill Gross

    A federal investigation of Pacific Investment Management Co. is the latest crack in the armor of the $2-trillion fund giant, where a trustee recently questioned the $200-million salary, "bullying" behavior and "mediocre" recent performance of  co-...
  • Former CEO of O.C. company charged with insider trading

    A federal grand jury indicted the former chief executive of an Orange County medical device company on insider-trading charges for allegedly tipping his friend, former Angels player Doug DeCinces, to company secrets that moved the stock market. James V....
  • SEC probe adds to Pimco's troubles

    A federal investigation of Pacific Investment Management Co. is the latest crack in the armor of the $2-trillion Newport Beach fund giant, where a trustee recently questioned the $200-million salary, "bullying" behavior and "mediocre" recent performance...
  • Tribune Media files documents in preparation for stock exchange listing

    Tribune Media files documents in preparation for stock exchange listing
    Tribune Media Co. has filed registration documents with the Securities and Exchange Commission in preparation for listing its stock on a major exchange. The initial Form 10 filing, which appeared on the SEC website Monday, contains financial statements,...
  • U.S. SEC to pay $30 million-plus in largest whistleblower award

    WASHINGTON (Reuters) - An anonymous tipster living abroad will be receiving more than $30 million, in the largest whistleblower award ever doled out by U.S. securities regulators as part of a program that aims to incentivize insiders to report wrongdoing....
  • U.S. SEC claws back Saba Software ex-CEO's pay over fraud

    U.S. SEC claws back Saba Software ex-CEO's pay over fraud
    (Reuters) - The U.S. Securities and Exchange Commission on Wednesday said Saba Software Inc's former chief executive will repay $2.57 million of bonuses, incentive pay and profit from stock sales to the Silicon Valley company as part of a settlement...
  • Wells Fargo admits to control problems from insider-trading case

    Wells Fargo admits to control problems from insider-trading case
    WASHINGTON (Reuters) - A unit of Wells Fargo will admit to wrongdoing and pay a $5 million penalty to settle charges that it failed to have adequate controls in place to prevent an employee from illegal insider trading, U.S. regulators said on Monday....
  • Oracle's Ellison took smaller pay package in fiscal 2014

    Oracle's Ellison took smaller pay package in fiscal 2014
    (Reuters) - Oracle Corp's  Larry Ellison, who is stepping aside as chief executive officer, took less money home in fiscal 2014 that the year before following criticism of his compensation and concerns about the software company's struggles against...
  • SEC to pay $30 million in largest-ever whistleblower award

    SEC to pay $30 million in largest-ever whistleblower award
    An anonymous tipster living abroad will be receiving more than $30 million, in the largest whistleblower award ever doled out by U.S. securities regulators as part of a program that aims to incentivize insiders to report wrongdoing. The Securities and...
  • Alibaba IPO ranks as world's biggest after additional shares sold

    Alibaba IPO ranks as world's biggest after additional shares sold
    HONG KONG (Reuters) - Alibaba's initial public offering now ranks as the world's biggest at $25 billion, netting underwriters of the sale a more than $300 million windfall after the e-commerce giant and some shareholders parted with additional shares....