The Securities and Exchange Commission today charged a former high-ranking official at Madrid-based Banco Santander S.A. and a former judge in Spain with insider trading based on non-public information about a proposed acquisition for which the Spanish investment bank was acting as an advisor.
The Securities and Exchange Commission has charged the tipper of confidential information to a S.A.C. Capital portfolio manager who has been charged with insider trading.
The Securities and Exchange Commission has charged the former CEO of a Houston-based investor relations firm with insider trading.
The Securities and Exchange Commission has charged a Texas man and his company with defrauding investors in a Ponzi scheme involving Bitcoin, a virtual currency traded on online exchanges for conventional currencies like the U.S. dollar or used to purchase goods or services online.
The Securities and Exchange Commission has announced it has established supervisory arrangements with financial regulators of the member states of the European Union (EU) and the European Economic Area (EEA) as part of long-term strategy to improve the oversight of certain entities in the asset management industry that operate across national borders, including investment advisors and investment fund managers.
The Securities and Exchange Commission has announced an emergency asset freeze against an unregistered money manager and his companies in Plano, Texas.
An important trial starts next week -- that of ex-Goldman Sachs trader Fabrice P. Tourre.
U.S. Congress Members have waded into the fiduciary duty debate.
The SEC has charged the Chicago Board Options Exchange (CBOE) and an affiliate for various systemic breakdowns in their regulatory and compliance functions as a self-regulatory organization, including a failure to enforce or even fully comprehend rules to prevent abusive short selling.
The Securities and Exchange Commission has made the second-largest trading suspension in agency history.