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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 78-88
  • GT shares plunge as Apple taps other source for new iPhone display

    NEW YORK (Reuters) - Shares of GT Advanced Technologies Inc plunged in their heaviest-ever trading day on Tuesday after Apple Inc said its new iPhone 6 would not feature screens made with GT's sapphire glass displays. GT's stock began falling abruptly in...
  • The McDonnell verdict

    The soap opera that played out in Richmond these last weeks and ended with the convictions of former Gov. Bob McDonnell and his wife, Maureen, on multiple counts of fraud and conspiracy charges is a tragedy for them, their children and the voters of...
  • GSK China consumer healthcare unit linked to DOJ probe in 2012

    SHANGHAI/WASHINGTON (Reuters) - A U.S. anti-bribery probe into GlaxoSmithKline Plc touched on the firm's Chinese consumer healthcare business in 2012, internal documents show, suggesting the drugmaker's compliance problems in China could go wider than...
  • Cyber breaches rare among U.S. state-registered investment advisers -study

    Cyber breaches rare among U.S. state-registered investment advisers -study
    (Reuters) - Cyber security breaches are rare among investment advisory firms registered with U.S. states, but improvements to technology and procedures could still bolster protection of client information, state securities regulators said on Wednesday....
  • Need for trade execution transparency gains on Wall Street

    NEW YORK (Reuters) - Executing an order in the stock market may be lightening fast but many investors do not know how trades happen while rules to ensure full transparency are lacking, a potential bonanza for businesses that can fill this hole in the...
  • Man who ate napkins to conceal insider trading pleads guilty

    Man who ate napkins to conceal insider trading pleads guilty
    A Brooklyn, New York mortgage broker, who would scribble secret stock tips on napkins and pass them to an accomplice in Grand Central station before eating them, pleaded guilty to insider trading on Friday, federal prosecutors said. Frank Tamayo, 41, was...
  • U.S. options clearinghouse CEO to retire after year in top spot

    The chief executive of the clearinghouse for all U.S. stock options will retire from the company at the end of the year after one year in the role, the company said on Friday. Chicago-based OCC, formerly known as the Options Clearing Corp., did not...
  • Dollar General solicits votes against Family Dollar deal

    Dollar General on Friday ratcheted up its fight to break up a planned acquisition of Family Dollar by a third company, launching an effort to solicit shareholders to vote against the deal. The solicitation, filed Friday with the Securities and Exchange...
  • U.S. judge awards $40.7 million in SEC case over bitcoin Ponzi scheme

    U.S. judge awards $40.7 million in SEC case over bitcoin Ponzi scheme
    A U.S. federal judge in Texas ordered Bitcoin Savings and Trust and its owner to pay a combined $40.7 million after the Securities and Exchange Commission established that the company, which sold investments using the virtual currency, was a Ponzi scheme....
  • Wall Street regulator unveils proposals for dark pools, bond markets

    WASHINGTON (Reuters) - Wall Street's self-funded regulator unveiled a list of proposals on Friday to bolster rules governing alternative trading platforms like "dark pools," computerized high-speed trading, and price transparency in the corporate bond...
  • SEC probing Goldman Sachs internship for brother of Libyan ex-official: WSJ

    (Reuters) - U.S. regulators are investigating a Goldman Sachs Group Inc internship for the brother of a former official at Libya's sovereign wealth fund and perks allegedly offered by the bank to the fund, the Wall Street Journal reported on Thursday,...