The bumpy launch of the Commodity Futures Trading Commission’s new derivatives trading platform just got bumpier, reports the Financial Times.
The Securities and Exchange Commission has announced an award of more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds.
The Securities and Exchange Commission has charged the longtime accountant for many of Bernard Madoff’s oldest and wealthiest clients for his role in the creation of false books and records used in the massive Ponzi scheme.
JPMorgan Chase is coughing up almost $1 billion in fines for its London whale violations, with $200 million going to the SEC.
The Securities and Exchange Commission is proposing a rule that would require public companies to disclose the ratio of the compensation of its chief executive officer (CEO) to the median compensation of its employees.
The SEC prohibits the short sale of an equity security during a restricted period.
A software glitch that saw trading halted on the NASDAQ in late August has the SEC demanding better safeguards for critical market infrastructure.
Twitter wants to go public and has filed an initial public offering with the Securities and Exchange Commission, the company announced yesterday.
The Securities and Exchange Commission has announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund.
The Securities and Exchange Commission today announced charges against a San Diego-based investment advisory firm and its president for allegedly steering winning trades to favored clients and lying about how certain money was being spent.