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Securities and Exchange Commission

News about the U.S. Securities and Exchange Commission. Commentary and archival information about the U.S. Securities And Exchange Commission from The New York Times.

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Making Your Family Better at Personal Finance

Fri, 13 Jan 2017 18:31:08 -0500

A new book provides a good base for building what many desperately need: financial literacy.

Money Market Funds and C.D.s Show Signs of Life

Fri, 13 Jan 2017 16:22:38 -0500

As interest rates rise, money market funds, certificates of deposit and short-term bonds are delivering higher yields — but investors should be choosy.

S.E.C. Inertia on Paybacks Adds to Investor Harm

Fri, 13 Jan 2017 15:06:36 -0500

The glacial pace of a Citigroup restitution plan raises questions about how “fair funds” are administered and who benefits from delays.

JPMorgan Ordered to Pay Damages for Firing Whistle-Blower

Wed, 11 Jan 2017 16:45:34 -0500

The bank broke the law by retaliating against a broker who said he was pressured to sell unsuitable investment funds, the government said.

Under New Chairman, S.E.C. Enforcer Role Might Shrink

Mon, 09 Jan 2017 16:10:26 -0500

The choice of a Wall Street deal-maker to head the agency raises questions about enforcement, Peter J. Henning writes in the White Collar Watch column.

Will Jay Clayton Protect Investors?

Sat, 07 Jan 2017 14:30:02 -0500

Donald Trump has named a Wall Street lawyer to run the S.E.C. Mr. Clayton has the smarts, but does he have the will to protect investors?

Mr. Trump, Washington Could Use a Few Good Managers

Thu, 05 Jan 2017 14:34:16 -0500

What would happen if Mr. Trump’s corporate cabinet actually brought management innovation to the federal government?

Donald Trump Nominates Wall Street Lawyer to Head S.E.C.

Wed, 04 Jan 2017 11:54:19 -0500

Jay Clayton, a partner at Sullivan & Cromwell and an adviser to Goldman Sachs, would join several Wall Street alumni in serving in Mr. Trump’s administration.

S.E.C.’s In-House Judges Face Supreme Court Scrutiny

Tue, 03 Jan 2017 11:36:13 -0500

A clause of the Constitution has created a conflict between federal appeals court rulings over the proper appointment of administrative judges.

3 Men Made Millions by Hacking Merger Lawyers, U.S. Says

Tue, 27 Dec 2016 19:13:40 -0500

The authorities in New York charged the Chinese citizens with trading shares of companies they illicitly learned were about to be purchased.