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White Collar Watch: Signs of a Step Back in Financial Regulatory Enforcement

The Securities and Exchange Commission and the Consumer Financial Protection Bureau are the targets of efforts to change how they enforce the law.

Donald Trump signs a law repealing disclosure rule for oil companies

ON FEBRUARY 13th, Donald Trump signed his first major piece of legislation—“a big signing” as he put it. The law repealed a Securities and Exchange Commission (SEC) regulation that oil and mining companies should disclose their payments to foreign governments.

Mary Jo White Seriously Misled The US Senate To Become SEC Chair

Submitted by Pam Martens and Russ Martens via, Less than two weeks after Mary Jo White was nominated to become Chair of the Securities and Exchange Commission by President Barack Obama on January 24, 2013, White...Show More Summary

SEC weighs curbing investigators' powers to probe Wall Street

The Securities and Exchange Commission’s interim chief has quietly initiated a review that could make it harder for government lawyers to open investigations into corporate wrongdoing,... To view the full story, click the title link...

Morgan Stanley to Pay $8M Penalty And a Refresher Course on Inverse ETFs

The Securities and Exchange Commission announced yesterday that the wealth management division of Morgan Stanley agreed to pay an $8 million fine and admit to wrongdoing related to inverse exchange-traded funds it recommended to its advisory clients. Show More Summary

Trump Axes Disclosure Rules for Big Oil, Mining

President Trump signed his first piece of legislation on Tuesday, a measure that could presage the most aggressive assault on government regulations since President Reagan. The bill cancels out a Securities and Exchange Commission regulation...Show More Summary

Warren Buffet’s Berkshire Hathaway added over 40M AAPL shares last quarter, stake now valued at $7.7B

As Apple stock continues to perform well, a United States Securities and Exchange Commission filing today revealed that Berkshire Hathaway has more than tripled its stake in Apple over the last three months. Berkshire Hathaway is, of course, the holding company operated by investor Warren Buffet that has been skeptical of AAPL in the past. more… Filed under: Apple

Warren Buffett's Berkshire Hathaway nearly quadruples stake in Apple

Investor Warren Buffet bet big on Apple during the fourth quarter of 2016, as a filing with the U.S. Securities and Exchange Commission on Tuesday reveals Berkshire Hathaway now owns more than 57 million shares of the tech giant.

Apple looks to raise $1 billion in second Taiwanese bond sale

Apple is holding its second Taiwanese bond sale, with the latest debt offering aiming to bring in an additional $1 billion in cash, a filing with the U.S. Securities and Exchange Commission reveals.

Why Is Snap Calling Itself a Camera Company?

Ever since Snapchat—sorry, Snap Inc.—filed for its initial public offering, last week, it has been all that anyone in Silicon Valley can talk about. In the documentation that it sent to the U.S. Securities and Exchange Commission, the...Show More Summary

SEC charges Chinese investor with insider trading in Comcast-DreamWorks Animation deal

The Securities and Exchange Commission has charged a Chinese investor and his family members with illegally profiting from Comcast Corp.’s $3.8-billion acquisition last year of DreamWorks Animation. The government on Friday obtained an emergency court order to freeze brokerage accounts used in...

New Book Shows How To Generate Returns As High As 20,000%

In May 2016, a historic event for individual investors was announced by the Securities and Exchange Commission (SEC). This new opportunity to take control of your wealth revolves around an asset class

Trump Administration Poised to Rescind SEC Conflict Minerals Rule

According to a leaked draft of a presidential directive, Donald Trump is ready to order the Securities and Exchange Commission to pull the conflict minerals disclosure rule.

A CEO Pay Regulation Is About To Be Quietly Scuttled

WASHINGTON ? The Trump administration’s review of Dodd-Frank Wall Street regulations will take months to complete, but we already know the first rule to be targeted. This week, acting Securities and Exchange Commission Chair Michael Piwowar directed the agency’s staff to “reconsider” a rule on CEO pay long championed by Sen. Show More Summary

Yes, Suspend -- Then Repeal -- Dodd-Frank’s Conflict Minerals Rules

Here’s good news: President Trump may sign an executive order suspending the failed conflict minerals provisions of the Dodd-Frank law. Days before, Securities and Exchange Commission Acting Chairman Michael Piwowar had issued two statements directing...Show More Summary

Key board member resigns from embattled Banc of California, following chairman

Chad Brownstein, a Los Angeles investor and longtime board member of Banc of California, has resigned from the troubled Irvine bank, which is the subject of a Securities and Exchange Commission investigation and investors’ calls for a boardroom shake-up. Brownstein’s resignation Wednesday comes...

The SEC could ditch a rule that reveals the pay gap between CEOs and workers — here's the data

Under acting head Michael Piwowar, the Securities and Exchange Commission has signaled a desire to reconsider Dodd-Frank rules. Specifically on the table is the requirement that corporations disclose the pay gap between their chief executive’s compensation and that of median workers. Show More Summary

'Real' financial advisors do not fear the retirement-savings rule

Real financial advisors do not fear the fiduciary rule. "Real" financial advisors -- for instance, those tested, licensed and regulated by the Securities and Exchange Commission as Registered Investment Advisors -- are already held to a fiduciary standard, for starters. Show More Summary

NYSE's 2015 outage may have broken securities rules

Securities and Exchange Commission investigators believe the New York Stock Exchange violated the law during a 3 1/2-hour outage on July 8, 2015, which froze one of the world’s biggest... To view the full story, click the title link...

Tyson says its being investigated, likely over price fixing

Tyson Foods says it's being investigated by the Securities and Exchange Commission, likely in connection over lawsuits alleging that the poultry company and others engaged in price fixing activities. The … Click to Continue »

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