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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.

Copyright: Copyright 2016 The New York Times Company

Steven Cohen May Return to Hedge Fund Industry When Ban Expires

Wed, 19 Oct 2016 13:04:36 -0500

The billionaire investor said a new firm he opened may begin raising cash from outside investors in early 2018.

The Shadowy Line Between Friendly Sales Pitch and Deception

Mon, 17 Oct 2016 13:16:08 -0500

The S.E.C. sued the Texas attorney general for securities fraud related to his role promoting Servergy, a tech company, but a judge rejected the agency’s claims.

Leon Cooperman Refutes Charges

Wed, 12 Oct 2016 15:24:15 -0500

The 73-year-old billionaire said the S.E.C.’s insider trading charges are “totally unjustified,” and the government is wasting money prosecuting his fund.

Theranos Sued by Investor Who Accuses It of Securities Fraud

Mon, 10 Oct 2016 22:26:13 -0500

Partner Fund Management, a San Francisco hedge fund, filed the suit on Monday in Delaware, according to a letter sent to its investors.

Judge Dismisses S.E.C. Case Against Texas Attorney General

Sat, 08 Oct 2016 19:31:00 -0500

Ken Paxton has been dogged by allegations that he duped wealthy investors in a high-tech company before taking office.

What Is a ‘Personal Benefit’ From Insider Trading? Justices Hear Arguments

Wed, 05 Oct 2016 12:31:33 -0500

The issue turns on whether friendship or family relationship amounts to a benefit comparable to money that would make providing an insider tip illegal.

Supreme Court Case to Test Prosecution of Insider Trading

Tue, 04 Oct 2016 15:53:19 -0500

The government’s campaign against insider trading has been tortuous with mixed and murky results.

Och-Ziff May Face Consequences Beyond Fine in Bribery Case

Mon, 03 Oct 2016 12:38:42 -0500

The hedge fund may encounter collateral consequences and reputational damage after settling charges of violating the Foreign Corrupt Practices Act.

Texas Businessman Agrees to Pay $198.1 Million in Fraud Case

Sun, 02 Oct 2016 12:54:57 -0500

The Securities and Exchange Commission accused Sam Wyly and his brother in 2010 of hiding trades in companies they controlled using offshore trusts.

Policing the Banks Is an Inside Job

Fri, 30 Sep 2016 22:19:37 -0500

Whistle-blowers could have revealed the scheme at Wells Fargo, but bank regulators are constrained from using them.