Tag: SEC

Sen. Al Franken, D-Minn., center, listens on Capitol Hill in Washington. Sen. Debbie Stabenow, D-Mich. is at right. (AP Photo/J. Scott Applewhite)

Franken applauds first SEC crackdown on a ratings agency

Joseph Lawler · January 22, 2015 9:16 pm

The rule would require companies to disclose the ratio between the CEO's annual pay and their employees'. (iStock Photo)

CEO pay rule a top SEC priority

Sean Higgins · January 4, 2015 2:00 pm

The case is part of the ongoing regulatory response to fast-growing digital currencies like Bitcoin. (iStock)

SEC lands $68,000 settlement from Bitcoin stock exchange operator

Joseph Lawler · December 8, 2014 9:12 pm

Class action says TD Ameritrade violated Securities Exchange Act

LocalLabs News Service · December 5, 2014 4:13 pm

One member of the Securities and Exchange Commission had colorful criticism for his colleagues Wednesday as they voted to finalize a long-delayed mortgage rule that has been significantly loosened following industry concerns that it would crimp lending. (iStock Photo)

SEC commissioner rips regulators for bowing to industry on mortgage rule

Joseph Lawler · October 22, 2014 7:00 pm

Although the industry prevailed on the mortgage rule, lenders remain worried about having to buy back faulty loans from government mortgage buyers Fannie Mae and Freddie Mac, and, even more importantly, the threat of future litigation over loans they make.Â (iStock)

Don’t expect easier credit from watered-down mortgage rule

Joseph Lawler · October 22, 2014 9:00 am

Federal regulators expect to finish writing this year a long-overdue mortgage regulation that was one of the most important provisions of the 2010 Dodd-Frank financial reform law. (iStock Photo)

Dodd-Frank mortgage rule nears the finish line

Joseph Lawler · October 15, 2014 7:02 pm

SEC alleges $129M pyramid scheme in China, US

Marcy Gordon · September 26, 2014 10:06 pm

SEC officials said the widespread securities violations would have been difficult to detect were it not for the whistleblower. (iStock)

SEC hands whistleblower record-breaking $30 million award

Sarah Bedford · September 22, 2014 7:56 pm

Luis Aguilar, one of the five SEC commissioners, late Thursday issued an unusual dissent to the SEC's punishment of an accountant, calling the decisions a "wristÃÂ slap at best."ÃÂ (iStock image)

SEC is going easy on fraud: commissioner

Joseph Lawler · August 29, 2014 2:57 pm

SEC adopts rules on loan-backed securities

Marcy Gordon · August 27, 2014 11:24 pm

The SEC will implement a reform of credit rating agencies, including Fitch, Standard and Poor's, and Moody's, mandated by the 2010 Dodd-Frank financial reform law that has been under discussion since 2011. (iStock Photo)

Regulators OK overhaul of credit rating agencies

Joseph Lawler · August 27, 2014 5:11 pm