The SEC has commenced an investigation into Barnes & Noble's accounting, pushing shares of the bookstore chain sharply lower.
The U.S. Securities and Exchange Commission (SEC) is a federal agency. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
The Securities and Exchange Commission has charged a former employee at a Silicon Valley-based semiconductor company for his role tipping non-public information used in connection with Raj Rajaratnam’s massive insider trading scheme.
The Securities and Exchange Commission has announced that Knight Capital Americas LLC has agreed to pay $12m to settle charges that it violated the agency’s market access rule in connection with the firm’s 1st August 2012 trading incident that disrupted the markets
The Securities and Exchange Commission has charged TD Bank and a former executive with violating securities laws in connection with a massive South Florida-based Ponzi scheme conducted by Scott Rothstein, who is now serving a 50-year prison sentence.
The U.S. Securities and Exchange Commission has charged a former executive at a Massachusetts-based technology firm for illegally tipping non-public information about the company’s financial predicament as part of the insider trading scheme operated by now-imprisoned Galleon Management hedge fund founder Raj Rajaratnam.
The U.S. Securities and Exchange Commission, in settling claims with JPMorgan Chase over its handling of a $6.2bn trading loss, landed its biggest victory yet in fulfilling a pledge to force wrongdoers to admit guilt.
The Securities and Exchange Commission has charged JPMorgan Chase & Co. with misstating financial results and lacking effective internal controls to detect and prevent its traders from fraudulently overvaluing investments to conceal hundreds of millions of dollars in trading losses.
A divided U.S. Securities and Exchange Commission will propose that public companies disclose how much more their chief executives earn than rank-and-file workers.
Former Lehman Brothers CEO Richard Fuld is appeared before the House Committee on Financial Services following the Lehman debacle.
Greg Smith created a headache for Goldman Sachs last year when he resigned from the firm through a harshly worded Op-Ed article in the pages of The New York Times.
The US financial regulator will attempt to prove it can win high-profile cases related to the credit crunch this week when a former Goldman Sachs trader nicknamed "Fabulous Fab" goes on trial.
Lehman Brothers Holdings is seeking court permission to question the JPMorgan trader known as the 'London Whale' in connection with its $8.6bn lawsuit accusing the largest U.S. bank of driving it into bankruptcy.