U.S. securities regulator proposes new rules on use of derivatives in exchange traded funds
WASHINGTON (Reuters) – The U.S. securities regulator on Monday proposed new regulations for the use of derivatives by investment funds…
Investors left exposed as Trump’s SEC gives America Inc helping hand
WASHINGTON (Reuters) – The United States’ top market cop is slowly taking the shackles off corporations. FILE PHOTO: FILE PHOTO:…
SEC freezes assets of 18 traders over alleged manipulation
WASHINGTON (Reuters) – U.S. authorities said on Wednesday it has obtained an asset freeze against 18 traders, who are primarily…
SEC fines Texas-based firm for offering illegal tokens, unregistered exchange
WASHINGTON (Reuters) – The U.S. Securities and Exchange Commission said on Thursday it fined and settled charges against a Texas-based…
SEC reaches $60 million settlements involving ex-American Realty executives
NEW YORK (Reuters) – Two former executives at American Realty Capital Properties Inc, including the onetime billionaire who built it,…
U.S. SEC chief says he has not met with Facebook since Libra announcement
WASHINGTON (Reuters) – A top U.S. financial market regulator said on Tuesday he has not discussed with Facebook its Libra…
Tesla’s Elon Musk, SEC get another week to work out deal on Twitter use
NEW YORK (Reuters) – Tesla Inc Chief Executive Elon Musk and the U.S. Securities and Exchange Commission will get another…
Tesla’s Elon Musk, SEC to face off in U.S. court on April 4
NEW YORK (Reuters) – Lawyers for Elon Musk and the U.S. Securities and Exchange Commission will square off in a…
Musk’s lawyers say U.S. SEC has not met heavy burden to show contempt
FILE PHOTO: SpaceX founder Elon Musk looks on at a post-launch news conference after the SpaceX Falcon 9 rocket, carrying…
Elon Musk’s defense of his Tesla tweet will get SEC response
(Reuters) – The top U.S. securities regulator received permission from a federal judge on Tuesday to respond to Tesla Inc…
Hertz Global to pay $16 million fine to settle accounting case: SEC
FILE PHOTO: A Hertz logo is pictured on a sign at Orlando International Airport in Orlando, Florida, U.S., May 6,…
U.S. SEC fines Citibank more than $38 million for mishandling ADRs
Commuters walk past a Citibank branch in the Manhattan borough of New York, U.S., March 18, 2017. REUTERS/Ashlee Espinal WASHINGTON…
Musk to resign as Tesla chairman, remain as CEO in SEC settlement
WASHINGTON/SAN FRANCISCO (Reuters) – Tesla and Elon Musk have agreed to pay $20 million each to financial regulators and the…
SEC orders Citigroup to pay $12 million to settle dark pool probe
(Reuters) – Citigroup Inc was ordered to pay more than $12 million by U.S. regulators on Friday after it was…
SEC halts trading in two cryptocurrency products, citing market confusion
NEW YORK (Reuters) – The U.S. Securities and Exchange Commission said on Sunday it was immediately suspending trading in two…
Trump asks SEC to consider switch to half-year corporate filings
NEW YORK/WASHINGTON (Reuters) – U.S. President Donald Trump on Friday said meetings with corporate executives had prompted him to ask…
Trump asks SEC to mull half-year corporate filings vs. quarterly
NEW YORK/WASHINGTON (Reuters) – U.S. President Donald Trump said on Friday he had asked the U.S. Securities and Exchange Commission…
Merrill Lynch to pay $42 million for misleading customers: SEC
WASHINGTON (Reuters) – Bank of America Corp (BAC.N) subsidiary Merrill Lynch will pay a $42 million penalty for lying to…