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 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 announced that Paula Dubberly, Deputy Director of the Division of Corporation Finance, is retiring from the agency later this month after more than 20 years of service.
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 U.S. Securities and Exchange Commission will meet with heads of the major exchanges on September 12th to discuss last week's Nasdaq trading outage, the regulator said on Tuesday.
The Securities and Exchange Commission is close to reviving a rule that requires companies to be transparent about how much more CEOs make than their rank-and-file, The Wall Street Journal reported on Thursday.
Wall Street's latest trading fiasco is not expected to have a lingering impact on the market, but it certainly dealt a longer term blow to the Nasdaq's reputation.
The former manager allegedly misled investors over valuation and performance.
Falcone must admit wrongdoing.
A federal bribery investigation into whether JPMorgan hired the children of key Chinese officials to help it win business is the latest in a series of legal headaches for Chief Executive Jamie Dimon.
A breakdown in culture led to JP Morgan racking up $6bn loses in the 'London Whale' trading scandal, US prosecutors claimed Wednesday as they filed criminal charges against two of its bankers.