Securities Regulation
SEC Open for Biz During Early Weeks of Shutdown
The U.S. Securities and Exchange Commission would continue reviewing IPO applications and monitoring markets as normal in the early weeks of a government shutdown, but market players are increasingly ...
SEC Chair White Vows Big Fines to Punish Wrongdoers
The head of the U.S. Securities and Exchange Commission warned that her agency will aggressively use its powers to fine wrongdoers and is seeking other creative ways to hold companies and individuals ...
SEC Turns Policy Corner with JPMorgan Guilty Admission
The U.S. Securities and Exchange Commission, in settling claims with JPMorgan Chase & Co. over its handling of a $6.2 billion trading loss, landed its biggest victory yet in fulfilling a pledge ...
SEC Unveils CEO-to-Worker Pay Ratio Rule
U.S. corporations will need to disclose how their chief executive officers' paychecks compare with those of their workers under a proposal unveiled on Wednesday by the U.S. Securities and Exchange ...
Loeb Reinsurer Faced SEC Push to Improve Investment Disclosure
The U.S. Securities and Exchange Commission pushed a reinsurer co-founded by billionaire hedge fund manager Dan Loeb to provide more information about investments ahead of last month's initial public ...
U.S. House Panel Probes Obsolete Technology at SEC
A U.S. House of Representatives committee is investigating whether federal securities regulators are using last century's tools to review corporations' books despite a rule that requires them to use ...
Asia’s Expert Networks for Investors Coming Under U.S. Scrutiny
Expert networks - a matchmaking service linking investors such as hedge funds with company insiders - are under scrutiny from regulators in the United States, but are expanding across Asia, where the ...
U.S. Banks’ $100 Billion Legal Tab for Financial Crisis Exceeds Combined Profit
The six biggest U.S. banks, led by JPMorgan Chase & Co. and Bank of America Corp., have piled up $103 billion in legal costs since the financial crisis, more than all dividends paid to ...