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ITG sets aside $20.3 million related to dark pool investigation

By John McCrank NEW YORK (Reuters) - Broker dealer Investment Technology Group said on Wednesday it set aside $20.3 million for a probable settlement with the U.S. Securities and Exchange Commission over rule violations related to its private stock trading venue. Show More Summary

Feds Investigating General Motors Over ‘Certified’ Used Cars

General Motors disclosed in its quarterly Securities and Exchange Commission filing Thursday that the Federal Trade Commission is investigating the automaker for selling used cars under recall, the Detroit News is reporting. According...Show More Summary

Apple announces first sterling-denominated bond valued at $2B US

In a filing with the U.S. Securities and Exchange Commission on Friday, Apple announced its first-ever pound-denominated bond issuance set at 1.25 billion pounds sterling, or nearly $2 billion.

Apple Purchase Commitments: Bullish Sign, or Wishful Thinking?

Apple (AAPL) shares fell 66 cents, or half a percent, to close at $124.50, as analysts perused the company’s 10-Q filing with the Securities & Exchange Commission in the wake of Tuesday afternoon’s better-than-expected fiscal Q3 report, which had been blemished by a lower number of iPhones sold than had been expected. Analysts got some [...]

SEC Wants to Know If Giant Booze Maker Spiked Sales

British booze giant Diageo is feeling the burn in the US: The Securities and Exchange Commission is investigating claims that company sent American distributors more inventory than they requested, which would have allowed it to record a false spike in sales, the Guardian reports. Diageo tells the Wall Street Journal...

SEC Questions Smirnoff-Maker Diageo's U.S. Distribution

Daniel Acker/Bloomberg via Getty Images By Martinne Geller LONDON -- British spirits-maker Diageo (DEO) is under scrutiny in the United States, where the U.S. Securities and Exchange Commission has asked for information to see whether it shipped excess inventory to U.S. Show More Summary

Ferrari officially files SEC paperwork to register future IPO

Ferrari has filed the necessary paperwork with the Securities and Exchange Commission to launch the company's IPO later in the year. The documents don't set a specific timeframe for the offering or price for the shares. Continue reading...Show More Summary

Apple revises down capital expenditure projection 8% for fiscal 2015

Apple revealed in a U.S. Securities and Exchange Commission filing Wednesday that it plans to spend $12 billion on capital expenditures for the 2015 fiscal year, $1 billion less than was initially projected last year.

First Data Corp. plans to go public

First Data Corp. wants to go public in a bid to pay off its debt. The Atlanta-based private payment technology and services company filed a registration statement with the U.S. Securities and Exchange Commission for an initial public offering of its common stock. Show More Summary

The Real Problem With SEC Administrative Proceedings, and How To Fix It

The ongoing controversy surrounding the Securities and Exchange Commission’s use of in-house administrative enforcement proceedings has recently led to some extraordinary developments. Last month, the SEC’s five Commissioners took the unusual step of asking an SEC Administrative Law Judge to submit a sworn statement indicating whether he has ever experienced [...]

The Asinine Arguments Corporations Have Used to Block CEO-Worker Pay Disclosure for 5 Years

Regulators of the Great Depression era could teach their modern-day counterparts a few lessons in how to get things done. Consider, for example, how fast the Securities and Exchange Commission of that era was able to implement the first executive pay disclosure rules, compared to today's bureaucratic foot-dragging. When Congress first required U.S. Show More Summary

U.S. Chamber calls for long list of reforms for SEC enforcement program

By Sarah N. Lynch WASHINGTON (Reuters) - The U.S. Chamber of Commerce called for numerous reforms to the Securities and Exchange Commission's investigative process on Wednesday, in a new report some of whose provisions the markets watchdog said would weaken its ability to protect investors. Show More Summary

Big News to Report on the CEO-to-Worker Pay Ratio Disclosure Rules

After continued pressure from you and tens of thousands of people across the country, the U.S. Securities and Exchange Commission could finally be voting on implementing a rule requiring big companies to reveal their CEO-to-worker pay ratios as early as August.

Former NFL player Will Allen faces decades in prison over fraud charges

2 weeks agoSports : The Early Lead

Former NFL player Will Allen, who already was the subject of a Securities and Exchange Commission investigation into whether he defrauded investors — many of them professional athletes — out of millions of dollars in a Ponzi scheme, was charged with 23 federal felonies in a criminal indictment issued last week by the U.S. Attorney’s […]

The Sly Attempt to Keep Corporate Political Donations Secret

The House Committee on Appropriations recently adopted a budget for an assortment of financial agencies. Tucked inside the 150-plus pages of legislative prose is a provision that would deny the Securities and Exchange Commission (SEC)...Show More Summary

Have a large signature? For chief financial officers, that could spell trouble

Investors trying to ferret out financial misreporting could have a new clue — the size of a chief financial officer's signature on documents filed with the Securities and Exchange Commission. A new paper from researchers at the University...Show More Summary

Software blamed for NYSE glitch

Technical problem that halted NYSE trade earlier this week traced to new software. ||| New York - Officials from the US Securities and Exchange Commission met with top executives of the New York Stock Exchange on Thursday to learn more about what caused Wednesday's nearly four-hour trading halt on the exchange, the regulator said. Show More Summary

Lynn Tilton Is Not A Billionaire, And Her Fortune Is Sinking

Eccentric financier Lynn Tilton is currently in a battle with the Securities and Exchange Commission, which accused her of defrauding her investors. Despite claims that she's a billionaire, her net worth is $600 million.

WeWork raises a hefty $433M funding round

Coworking space startup WeWork today disclosed a $433.9 million funding round in a new document on file with the U.S. Securities and Exchange Commission. That’s higher than the $400 million figure the Wall Street Journal reported last month. Hat tip to Dan Primack at Fortune for tweeting a link to the filing, which does not […]

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