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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 2017 The New York Times Company
 



A Whack at Dodd-Frank Could Hamstring the S.E.C.

Mon, 24 Apr 2017 18:04:01 -0500

The Financial Choice Act 2.0 could make life easier for Wall Street defendants accused of wrongdoing, or at the least slow the enforcement process down.



Auditing the Auditors

Fri, 14 Apr 2017 03:21:24 -0500

Investors still have good reason to be wary about the honesty and accuracy of audited financial statements.



Plenty More Villains at Wells Fargo

Wed, 12 Apr 2017 03:21:14 -0500

Revoking a few bonuses is just a start. The bank must do a lot more to restore trust.



A Dearth of I.P.O.s, but It’s Not the Fault of Red Tape

Tue, 28 Mar 2017 18:31:47 -0500

The number of companies on the U.S. stock market plummeted by half over 10 years, but there is not much evidence that regulation is the villain.



Tencent of China Takes 5 Percent Stake in Tesla

Tue, 28 Mar 2017 10:24:56 -0500

The purchase came as the carmaker has sought to raise more cash before starting production of its Model 3, an electric vehicle targeting the mass market.



What the Future of S.E.C. Enforcement Holds Under Jay Clayton

Mon, 27 Mar 2017 14:13:47 -0500

The crucial first step for the agency’s next chairman will be the appointment of a new director of the enforcement division.



S.E.C. Rejects Winklevoss Brothers’ Bid to Create Bitcoin E.T.F.

Fri, 10 Mar 2017 17:25:33 -0500

The price of Bitcoin tumbled after the Securities and Exchange Commission rejected the brothers’ application for an exchange-traded fund.



Trump’s S.E.C. Nominee Disclosure Offers Rare Glimpse of Clients and Conflicts

Wed, 08 Mar 2017 17:23:12 -0500

Jay Clayton’s disclosure filing may raise questions about his ability to avoid conflicts in leading the Securities and Exchange Commission. But Senator Catherine Cortez Masto’s focus is elsewhere.



Signs of a Step Back in Financial Regulatory Enforcement

Mon, 20 Feb 2017 16:35:26 -0500

The Securities and Exchange Commission and the Consumer Financial Protection Bureau are the targets of efforts to change how they enforce the law.



The Changes Confronting the Investment Advisory Business

Thu, 16 Feb 2017 11:48:45 -0500

Advisers still have an important role to play, but need to embrace the technology and customized planning that investors are increasingly demanding.