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SEC Backlog Delays Whistleblower Awards
As part of its popular whistleblower program, the Securities and Exchange Commission promises to move swiftly on useful information about potential wrongdoing. But the agency isn’t as speedy when it...
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SEC urged to beef up FINRA oversight: GAO
The Securities and Exchange Commission needs to tighten its procedures for overseeing the Financial Industry Regulatory Authority, the Government Accountability Office said Thursday. In its report,...
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Choosing the Battlefield in S.E.C. Cases
Lawyers are often accused of elevating procedure over substance, emphasizing the need to follow the rules over reaching the proper outcome in a case. In dealing with the Securities and Exchange...
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SEC Probes Activist Funds Over Whether They Secretly Acted in Concert
The Securities and Exchange Commission is investigating whether some activist investors teamed up to target companies without disclosing their alliances, potentially in violation of federal...
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Ex-Senate Aide Said to Be Leading Candidate for SEC Seat
A former U.S. Senate Banking Committee lawyer has emerged as the leading candidate for a Republican seat on the Securities and Exchange Commission, people familiar with the matter said. Hester Peirce,...
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Sign This Petition to Fire Wall Street Crony and SEC Head Mary Jo White
It didn’t take much foresight to know how much of a compromised Wall Street tool Mary Jo White would be when she was nominated to run the SEC by President Barack Obama. It was so obvious, that I wrote...
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The Tide Is Turning Against Obama’s Pro-Wall Street SEC Pick
More than 110,000 people have signed a petition to remove Mary Jo White as chairwoman of the Securities and Exchange Commission because she is too close to Wall Street to regulate it effectively,...
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SEC charges OZ management with providing inaccurate trade data
The Securities and Exchange Commission has charged OZ Management LP with providing inaccurate trade datato four prime brokers, causing inaccuracies in the brokers’ books and records and in data...
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UBS Settles U.S. SEC Case Over Structured Notes for $19.5 Million
UBS AG will pay $19.5 million (13 million pounds) to settle civil charges alleging the bank made false statements to U.S. retail investors in its offering documents for complex structured notes tied to...
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Miami Firm Broke Anti-Money Laundering Protocols
The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing...
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