Trend Results : "Exchange Commission"

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Wall Street's top watchdog is going soft under Trump

The Securities and Exchange Commission is pursuing fewer penalties on corporations under President Donald Trump. The SEC filed 612 enforcement cases in its most recent fiscal year, the fewest in four years, according to a GeorgetownShow More Summary

US exchanges are asking regulators to delay massive new system meant to make markets safer

US stock exchanges are asking the Securities and Exchange Commission to delay the implementation of a database that would provide better surveillance over the markets. The so-called Consolidated Audit Trail would serve as a central database...Show More Summary

SEC May Give New Guidelines on Reporting Cybersecurity Breaches

A senior Securities and Exchange Commission regulator said public companies will soon face new guidelines for how they report cybersecruity breaches to investors.

SEC Creating Searchable Database of Bad Brokers

The Securities and Exchange Commission is creating a website that will contain “a searchable database of individuals who have been barred or       

China’s Tencent takes 12% stake in Snap – will it go all the way?

Shares in Snap Inc. bounced somewhat in trading Wednesday after a quarterly Securities and Exchange Commission filing disclosed that Chinese investment giant Tencent Holdings Ltd. had acquired a 12 percent stake in the company. Tencent,...Show More Summary

SEC issues warning on celebrity-endorsed investments

This story was delivered to BI Intelligence "Fintech Briefing" subscribers. To learn more and subscribe, please click here. The US Securities and Exchange Commission (SEC) has issued a statement calling for investors to be wary of investments...Show More Summary

SEC Warns Celebs To Reveal Paid Endorsements Of Initial Coin Offerings

The U.S. Securities and Exchange Commission has issued a warning to celebrities on a hot new digital investment, initial coin offerings. The SEC said they may be breaking the law if they don’t disclose paid endorsement of the ICOs. Boxing...Show More Summary

Bitcoin soared above $6,900 despite strong regulatory warning from Securities and Exchange Commission

The price of bitcoin, the red-hot digital coin up more than 550% this year, soared past $6,900 to $6,916 Wednesday evening, according to data by Markets Insider. The rally comes ahead of a warning by the Securities and Exchange Commission...Show More Summary

Steve Case is raising a $100 million ‘Rise of the Rest’ seed fund, according to SEC filing

Steve Case and the team at Rise of the Rest are raising $100 million for a new seed fund, a Securities and Exchange Commission filing from Friday shows. According to the Form D filing, the fund has yet to bring in outside investors and the minimum investment is $250,000. Revolution CEO Steve Case is listed as the fund’s general […]

News: Apple asks SEC to exclude shareholder diversity proposal from next meeting

2 weeks agoTechnology / Mobile : iLounge

Apple has asked the U.S. Securities and Exchange Commission to allow the company to exclude a shareholder proposal demanding more diversity in the company’s senior leadership from its upcoming shareholder meeting, SiliconBeat reports. Show More Summary

Trump's business watchdog has seemingly eased up on corporate crackdowns

Jay Clayton took over the Securities and Exchange Commission in May, after Obama appointee Mary Jo White stepped down in January. From February through September of this year, the SEC collected $127 million in civil case penalties against corporations, according to a report from Politico. Show More Summary

Zenefits and cofounder Parker Conrad fined nearly $1 million over misleading investors

(Reuters) — Silicon Valley business software startup Zenefits and its cofounder Parker Conrad have been fined nearly $1 million by the U.S. Securities and Exchange Commission as part of a settlement over charges that they misled investors. Zenefits will pay a $450,000 penalty and Conrad, who resigned as the company’s chief executive in early 2016, […]

Apple seeks permission from SEC to exclude proposal tying executive diversity metrics to CEO performance

Apple earlier this month asked the Securities and Exchange Commission to authorize the exclusion of a shareholder proposal that would tie the company's diversity efforts to CEO performance, an action that could negatively impact Tim Cook's compensation.

Share-trading suspension is ‘illegal’

INTERNATIONAL - Onando said that a move by Nigeria’s Securities and Exchange Commission (SEC) to suspend trading in its shares and order a forensic probe “is illegal, invalid and calculated to prejudice the business of the company”.Show More Summary

America's newest stock exchange just got the green light to go after Nasdaq and NYSE's marquee business

IEX, the stock exchange made famous in Michael Lewis' "Flash Boys," just got the green light to go after the marquee business of its rivals New York Stock Exchange and Nasdaq. The Securities and Exchange Commission amended Rule 146,Show More Summary

How A Spam Filter Sent a Shock Through The Maker Of Tasers

The Securities and Exchange Commission began emailing police supplier Axon two months ago with urgent questions about its accounting. On August 10, the Securities and Exchange Commission emailed Axon Enterprises, which makes police body cameras and Taser stun guns, with a few questions about the company’s accounting practices. Show More Summary

What we learned from Stitch Fix's IPO

After months of speculation, Stitch Fix filed for its IPO on Thursday.  The clothing subscription service bared all in its filing with the Securities and Exchange Commission. And it taught us a few things about a company readying toShow More Summary

There could be good news coming for one side of a war tearing Wall Street apart (NDAQ)

Trading firms have long complained about the mounting cost of data charged by US exchanges like the New York Stock Exchange and Nasdaq. The Securities and Exchange Commission's appointment of Brett Redfearn, a trading veteran and critic...Show More Summary

SEC Hires JPM Banker As Its Most Important Markets Regulator; May Blow Up HFTs

Yes, it's another glaring case of "revolving door" cronyism between Wall Street and the SEC: on Wednesday, the Securities and Exchange Commission announced it had hired Brett Redfearn, a JPMorgan banker, to head the agency's Division of Trading and Markets, arguably the most important group within the SEC, one which oversees U.S. Show More Summary

EPI comment to the SEC regarding the fiduciary rule

The Honorable Jay Clayton Chairman U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Dear Chairman Clayton, We appreciate the opportunity to respond to your request for public comments from retail investors and other interested parties on standards of conduct for investment advisers and broker-dealers.

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