Tag: SEC

People working for the U.S. Securities and Exchange Commission who owned stock in companies under investigation were more likely to sell shares than other investors in the months before the agency announced it was taking enforcement actions, according to a new academic paper. (Chip Somodevilla/Getty Images)

Study finds SEC staff sold shares before settlements made public

Bloomberg News · February 27, 2014 5:00 am

SEC rejects NY fund’s request for bank disclosures

Michael Virtanen · February 24, 2014 7:19 pm

Former Spanish JPMorgan Chase & Co. trader Javier Martin-Artajo greets the press as he leaves the Supreme Court after appearing before a judge for preliminary extradition proceedings, Madrid, Spain, Friday, Nov. 15, 2013. Javier Martin-Artajo is wanted by the United States for allegedly falsifying bank records to cover up $6 billion in trading losses. (AP File)

Ex-JPMorgan traders not entitled to case evidence, SEC says

Bloomberg News · February 10, 2014 5:00 am

Persistent, uncorrected cybersecurity errors by agencies handling extremely sensitive information is a scandal with the potential for tragedy. (Thinkstock)

Senate cybersecurity report is damning

Austin Bay · February 5, 2014 5:00 am

KPMG paying $8.2M to settle SEC charges

Marcy Gordon · January 24, 2014 9:30 pm

Red Alert Politics

NRCC debuts list of “35 Biggest Democrat Fails Of 2013”

Kelsey Osterman · December 17, 2013 4:11 pm

This cylinder hauler at Paducah's Babcock & Wilcox Conversion Services plant delivers the first of DOE's 14-ton depleted uranium cylinders to USEC for re-enrichment as part of a five-party agreement that is extending enrichment operations at the 60-year-old plant for another year, delaying increased costs at the site for DOE.

Energy and Environment

Solyndra-like USEC to file for bankruptcy, wants $750m more from DOE

Luke Rosiak · December 16, 2013 5:00 am

The Volcker Rule would ban banks from proprietary trading -- that is, buying and selling of securities and derivatives for their own profit.ÃÂ

Why five agencies had to vote on the Volcker Rule

Joseph Lawler · December 10, 2013 5:00 am

Fifth Third Bank's holding company is in hot water -- and now owes more than $6 million to the Securities and Exchange Commission. (Photo: PR Newswire/AP)

Fifth Third Bank charged with bad accounting during financial crisis

Kelly Cohen · December 9, 2013 5:00 am

Red Alert Politics

Heritage releases witty Thanksgiving cards poking fun at Obamacare, ‘Let’s Move’

Kelsey Osterman · November 26, 2013 3:14 pm

With so many new rules -- and those rules so often changing -- Capitol Hill has created a market for information on what the latest changes are going to be. DC firms that specialize in this -- called "political intelligence" -- have multiplied. (Photo: Thinkstock)

Beltway Confidential

How Washington regulations have made Wall Street inside trading easier

Sean Higgins · November 21, 2013 5:00 am

House votes to delay rules on retirement investment advice

Bloomberg_News · October 29, 2013 4:00 am