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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

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

Mon, 27 Mar 2017 14:13:45 -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.

Snap Aims for Valuation of More Than $20 Billion in I.P.O.

Thu, 16 Feb 2017 07:47:31 -0500

A revised filing on Thursday highlighted the messaging company’s ambitions for its stock market debut.

Mary Jo White to Rejoin Debevoise & Plimpton

Wed, 15 Feb 2017 13:51:42 -0500

The former S.E.C. chairwoman returns to the New York law firm where she had headed the litigation department for 11 years.

Gorsuch Nomination Puts Spotlight on Agency Powers

Mon, 06 Feb 2017 12:28:34 -0500

The views of the Supreme Court nominee on administrative rule-making are little known. But his approach could carry considerable weight.

Doubts Arise as Investors Flock to Crowdfunded Start-Ups

Tue, 24 Jan 2017 16:07:29 -0500

Advocates of a new law that aims to make it easier for businesses to raise capital worry whether investors are getting the information they need.

Former Top S.E.C. Enforcer Returning to Debevoise

Tue, 24 Jan 2017 13:02:20 -0500

Andrew Ceresney, who stepped down as the S.E.C.’s enforcement chief at the end of last year, will rejoin his old firm as co-chairman of litigation.