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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 2018 The New York Times Company

Shkreli vs. Holmes: 2 Frauds, 2 Divergent Outcomes. Were They Fair?

Thu, 22 Mar 2018 19:25:59 GMT

Mr. Shkreli, who was convicted of fraud for actions around hedge funds he ran, is going to prison. So far, Ms. Holmes, who peddled falsehoods about her blood-testing business, is not.

Do Financial Advisers Have to Act in Your Interest? Maybe

Thu, 22 Mar 2018 09:00:06 GMT

The so-called fiduciary rule devised by the Obama administration is under sharp attack and may never be fully implemented.

Once an S.E.C. Regulator, Now Thriving as a Lawyer for Whistle-Blowers

Tue, 20 Mar 2018 18:40:21 GMT

Jordan A. Thomas helped create an S.E.C. program to encourage employees to alert authorities to corporate wrongdoing. Now his firm is sharing in the proceeds.

Takeaways From Spotify’s Investor Day: DealBook Briefing

Thu, 15 Mar 2018 11:31:38 GMT

Shares of the streaming music service will start trading on the New York Stock Exchange on April 3.

Elizabeth Holmes, Theranos C.E.O. and Silicon Valley Star, Accused of Fraud

Wed, 14 Mar 2018 17:10:21 GMT

Ms. Holmes, the chief executive of the blood-testing company, agreed to a settlement in which she will be stripped of control.

Ex-Equifax Executive Charged With Insider Trading Tied to ’17 Breach

Wed, 14 Mar 2018 16:34:11 GMT

Jun Ying, a former top technology official at the consumer credit reporting agency, sold nearly $1 million in shares before the public was told of a major data breach, the S.E.C. said in a complaint.

S.E.C.’s New Cybersecurity Guidance Won’t Spur More Disclosures

Mon, 05 Mar 2018 14:56:21 GMT

Companies often try to keep digital breaches quiet. That’s something the S.E.C. would like to end, but its guidance may not go very far in changing how companies deal with the issue.

When to Report a Cyberattack? For Companies, That’s Still a Dilemma

Mon, 05 Mar 2018 10:01:02 GMT

The S.E.C.’s updated cybersecurity guidance doesn’t confront the practical quandary facing public companies victimized by a cyberattack.

Virtual Currency Offerings May Hit a New Peak with Telegram Coin Sale

Sun, 04 Mar 2018 22:23:37 GMT

It took Facebook seven years to raise its first $1 billion. Thanks to an initial coin offering, it could take the messaging app just four months.

Subpoenas Signal S.E.C. Crackdown on Initial Coin Offerings

Thu, 01 Mar 2018 02:16:08 GMT

Regulators are believed to have demanded information from as many as 80 people and companies associated with virtual currencies.