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Obama will (again) seek more money for SEC and CFTC

President Obama will ask – again – for more money for the Securities and Exchange Commission and Commodity Futures Trading Commission, two key watchdogs for the financial system. As part of the budget to be released Tuesday, the president will ask Congress to boost regulatory oversight by increasing SEC funding by 11 percent and CFTC […]

U.S. stock market reforms suggested to prevent market chaos

By John McCrank (Reuters) - A U.S. Securities and Exchange Commission committee said on Tuesday that limiting the types of stock orders available to retail investors and moving away from halting trading in individual stocks could help prevent a repeat of the market chaos seen last August. Show More Summary

The heroes of 'Flash Boys' just went off on the New York Stock Exchange

The war of words between upstart trading venue IEX and the New York Stock Exchange just went up a notch. IEX ? a trading venue made famous by Michael Lewis' "Flash Boys" ? filed with the Securities and Exchange Commission in September...Show More Summary

Looking for a risk-free way to boost your investment returns?

An economist at the Securities and Exchange Commission calculated that investors could save $25 billion dollars a year or more than $200 dollars per household, simply by switching from actively managed to passive or index funds

Why J.P. Morgan Chase & Co. Is Spending A Half Billion Dollars On Cybersecurity

(Photo by Spencer Platt/Getty Images) J.P. Morgan Chase & Co.'s Form 10-Q Quarterly Report -- which was filed on August 3, 2015 with the United States Securities and Exchange Commission -- provides a partial explanation as to why the firm is planning to spend a half billion dollars on cybersecurity. That [...]

Sen. Elizabeth Warren Warren slams ‘shockingly weak’ punishments for corporate crime

last weekNews : The Raw Story

Democratic U.S. Senator Elizabeth Warren released on Friday a report criticizing what she called “shockingly weak” punishments for corporate crimes and condemned the Justice Department and Securities and Exchange Commission for their lax approach. Warren, in a 13-page report titled...

The one CEO perk that’s not fading away

Since 2006 -- when the Securities and Exchange Commission began requiring companies to disclose more detail about executive compensation -- the perks of top managers have been under attack. And under pressure from investors and the fear of embarrassing optics for companies, many have quietly vanished. Show More Summary

Revalued: S.E.C. Is Criticized for Lax Enforcement of Climate Risk Disclosure

Critics say the Securities and Exchange Commission’s oversight of disclosure of the risks of the effects of climate change has waned, costing shareholders millions.

Senate Democrats Renew Push for Corporate Disclosure of Political Spending

Top Senate Democrats are stepping up pressure on the Securities and Exchange Commission to get the ball rolling on new rules to require corporations to disclose their political contributions.

Activists deliver petition demanding Securities and Exchange Commission enforce disclosure laws regarding Israel bonds

On January 19 a coalition activist groups delivered a petition with more than 6,400 signatures to the Securities and Exchange Commission demanding that the agency enforce its disclosure rules by taking action against the DevelopmentShow More Summary

A Rare Peek At the SEC’s Internal Judicial System

A rare appellate hearing at the Securities and Exchange Commission offered a window into the agency's controversial in-house court system.

Whistleblower Wins More than $700,000 in Settlement

The US Securities and Exchange Commission said an unnamed company insider who prepared a detailed analysis of his company’s wrongdoing was awarded more than $700,000 for his actions.

SEC Charges Goldman Sachs With Improper Securities Lending Practices

Three cheers for the United States Securities and Exchange Commission. FOR IMMEDIATE RELEASE 2016-9 Washington D.C., Jan. 14, 2016 —The Securities and Exchange Commission today announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations. According to the SEC’s order instituting a […]

US Securities Commission Fines Goldman Sachs $15Mln Over Borrowed Stock

The US Securities and Exchange Commission said that Goldman Sachs has agreed to pay a $15 million fine to settle charges that its lending practices violated federal securities regulations.

Goldman Sachs to pay $15 million to settle SEC stock lending case

(Reuters) - Goldman Sachs & Co will pay $15 million to settle civil charges that its securities lending practices violated federal regulations, the U.S. Securities and Exchange Commission said on Thursday. Goldman made improper representations to customers who requested that the firm locate certain stocks for short selling, the SEC said. Show More Summary

GOLDMAN SACHS: The US equity market has structural issues

Goldman Sachs thinks the Securities and Exchange Commission should conduct a review of public exchanges. In a letter to the SEC supporting the exchange application filed by IEX, managing director Paul Russo expressed concerns over the...Show More Summary

SEC Probes of Public Companies Steered Toward In-House Courts

It's no secret that the Securities and Exchange Commission in recent years has steered growing numbers of cases to its own administrative law judges rather than federal courts. A new study shows that the SEC practice wasn't just directed at private firms and individuals but public companies as well.

SEC Outlines ETF Plumbing as Priority for Investigation in 2016

Federal securities regulators have their eyes on the booming market for exchange-traded funds as well as that ever-present elephant in the room -- bond fund liquidity -- in 2016. The Securities and Exchange Commission's Office of Compliance...Show More Summary

Credit Rating Agencies Still Suffer from Conflict of Interest

Gretchen Morgenson had a good piece in the NYT this morning on a new report from the Securities and Exchange Commission (SEC) showing that the credit rating agencies still suffer from the same sort of conflict of interest problems that helped stoke the housing bubble. Show More Summary

Fair Game: Ratings Agencies Still Coming Up Short, Years After Crisis

The Securities and Exchange Commission’s annual report of credit ratings agencies finds that dubious practices persist long after the subprime meltdown.

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