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US Fine on Bank of America Still Leaves Massive Profit From Misusing Funds

The $430 million fine imposed by the US Securities and Exchange Commission (SEC) on the Bank of America for misusing its customers’ deposits still leaves the giant bank with huge profits and the motive to carry out similar offenses, analysts told Sputnik.

SEC accuses Breitling CEO, others, of $80 million fraud

By Jessica Resnick-Ault NEW YORK (Reuters) - The U.S. Securities and Exchange Commission on Friday charged Breitling Energy Corp, its chief executive and seven other people with defrauding investors out of around $80 million by misleading them about the value of oil and gas assets. Show More Summary

Merrill Lynch to Pay $415Mln for Mishandling Customer Funds

Merrill Lynch agreed to pay $415 million and admit that it mishandled customer funds to finance its own risky activities, the US Securities and Exchange Commission (SEC) said in a statement on Thursday.

TubeMogul, Match Among Internet Biz With ‘Optics’ Issue in New SEC Rules, Says JP Morgan

J.P. Morgan’s Doug Anmuth today warns followers of Facebook (FB), (AMZN) and other ‘Net stocks that the Securities & Exchange Commission has made “updates” to its policies regarding accounting for non-GAAP items, and thatShow More Summary

SEC approves IEX as national stock exchange

By Chuck Mikolajczak NEW YORK (Reuters) - The U.S. Securities and Exchange Commission has granted the hotly debated request by alternative trading group IEX Group Inc to launch a new U.S. public stock exchange, a move likely to intensify arguments over current market structure. Show More Summary

The heroes of 'Flash Boys' have won

IEX, the company founded by "Flash Boys" hero Brad Katsuyama, has won approval to run a US stock exchange. IEX, which has up until now operated as an alternative trading system, filed with the Securities and Exchange Commission to become...Show More Summary

Synaptics Drops 10% on Restructuring: Signs of Greater Competition, Says Dougherty

Shares of touch-screen controller component maker Synaptics (SYNA) are down $6.21, or over 10%, at $54.29, after the company stated in an 8-K filing with the Securities & Exchange Commission after market close yesterday that it expects...Show More Summary

Discovery Networks International President Re-Ups Through 2019

Discovery Networks International President JB Perrette is staying put. The London-based executive has extended his contract through June 2019, according to a filing Thursday with the Securities and Exchange Commission. Perrette willShow More Summary

SEC charges former SAP America executive with insider trading

WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission said on Thursday that it had charged with insider trading a former SAP America executive and three friends who made more than $500,000 based on his illegal tip about an impending merger. Show More Summary

Finra Names Robert Cook Its Chief Executive

Mr. Cook, a former Securities and Exchange Commission official, will join the Financial Industry Regulatory Authority in the second half of 2016.

As the Marvell Turns: Drops 5% on Another Delay in Financial Filings

Shares of chip maker Marvell Technology Group (MRVL) are down 48 cents, or almost 5%, at $9.72, after the company this morning filed a form 12b-25 with the Securities & Exchange Commission saying that it is unable to file its 10-Q form for the three months ended in April, its fiscal Q1, as it must still […]

The Wrap: Ken Paxton Calls SEC Charges 'Dramatic Overreach'

Texas Attorney General Ken Paxton's lawyers fire back the Securities and Exchange Commission's case against him. Federal regulators question automaker Tesla's alleged nondisclosure demands. And a divided Ninth Circuit says there's no Second Amendment right to carry a firearm in public. This is a roundup from ALM and other publications.       

Chinese physicist settles U.S. SEC insider charges over tech buyout

By Jonathan Stempel (Reuters) - A Chinese optical physicist who did consulting work for two Chinese private equity firms agreed to pay nearly $757,000 to settle U.S. Securities and Exchange Commission insider trading charges over a proposed buyout of a Silicon Valley company, the regulator said on Thursday. Show More Summary

SEC adopts trade acknowledgment, rules for swaps

WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission on Wednesday said parties in swaps must now acknowledge their trades electronically within a day, and also promptly verify or dispute the terms of the swap under rules it had adopted. Show More Summary

Morgan Stanley pays $1 million SEC fine over hacked customer data

(Reuters) - Morgan Stanley agreed to pay a $1 million fine to settle U.S. Securities and Exchange Commission charges that security shortfalls enabled a former employee to transfer data regarding roughly 730,000 accounts to his personal server, which was later hacked. Show More Summary

Two US Companies Fined $1Mln for Bribes Paid to Chinese Officials

Two US-based companies, Akamai and Nortek, will pay almost $1 million in fines for profits illegally gained through bribes to Chinese officials, US Securities and Exchange Commission representative Kara Brockmeyer said in a press release on Tuesday.

What Twilio's IPO Filing Means for the API Economy

Cloud communications platform Twilio, which offers a suite of APIs for text messaging, VoIP and voice, has filed its S-1 with the U.S. Securities and Exchange Commission (SEC), setting the stage for the company to raise up to $100 million in an initial public offering (IPO). 

A.M. Funds Roundup: Morgan Stanley Seeks ETF Permission Slip; Mutual Fund Board Tenures Raise Questions

Links to the best reading in funds investing: Morgan Stanley’s (MS) investment management arm last week requested permission from the Securities and Exchange Commission to launch both active and passive ETF — Chris Dieterich, Barron’s...Show More Summary

Should The SEC Investigation Concern Alibaba's Investors?

Alibaba‘s stock price last week took a nearly 7% hit as the news regarding an SEC (Securities and Exchange Commission) investigation on its accounting practices became public. The nvestigation is focused on the accounting for the results of logistics firm Cainiao Network (where Alibaba has 47% stake), as well as [...]

Morgan Stanley Seeks Permission To Launch ETFs

Another Wall Street heavyweight is gearing up to launch exchange-traded funds. Morgan Stanley's (MS) investment management arm last week requested permission from the Securities and Exchange Commission to launch both active and passive ETFs, according to documents filed with regulators. Show More Summary

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