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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

S.E.C. Upholds Dismissal of Wells Fargo Insider Trading Case

Sun, 16 Jul 2017 19:03:58 -0500

The case was a rare loss for the commission’s enforcement division in an internal administrative proceeding.

Martin Shkreli’s Ex-Mentor Testifies About His Bad Behavior

Wed, 12 Jul 2017 20:11:45 -0500

Steven Richardson, who as chairman of Retrophin fired him as chief executive, was a witness in Mr. Shkreli’s Brooklyn trial on charges of wire and securities fraud.

New S.E.C. Chairman Pledges to Look After Ordinary Investors

Wed, 12 Jul 2017 15:27:22 -0500

Walter J. Clayton also called for greater transparency in the sale and marketing of bonds to retail investors, in a speech to the Economic Club of New York.

Confidential I.P.O. Filings Work, if They Stay Confidential

Fri, 07 Jul 2017 15:11:43 -0500

Such secrecy will make the process of going public easier. But it will widen the circle of people who know about pending offerings before investors do.

S.E.C. Lets All Firms Keep Parts of I.P.O. Filings Secret

Fri, 30 Jun 2017 12:05:10 -0500

The regulator is expanding a program that has let smaller companies and technology start-ups keep some information secret early in the I.P.O. process.

Supreme Court Casts Doubts on a Potent S.E.C. Weapon

Mon, 12 Jun 2017 14:37:54 -0500

A recent decision will now require the agency to seek disgorgement within five years of a violation, and the fine print is raising more questions.

Behind the Scenes at Orchard Platform, a Struggle to Innovate

Mon, 29 May 2017 18:04:59 -0500

Orchard had successful founders, big-name investors and ambitions in the loan market. But after more than a year, it has completed few transactions.

2 Expected to Be Named to S.E.C. Enforcement Role

Mon, 29 May 2017 14:32:31 -0500

Steven R. Peikin of Sullivan & Cromwell is expected to be named to run the commission’s enforcement division along with Stephanie Avakian, the acting enforcement director.

Insider-Trading Case Ensnares Hedge Fund

Wed, 24 May 2017 12:16:44 -0500

Prosecutors say an employee of a Washington consulting firm obtained information about policy decisions at the Centers for Medicare and Medicaid Services.

Leon Cooperman’s Hedge Fund Settles Insider Trading Case

Thu, 18 May 2017 20:06:31 -0500

Pending court approval, Mr. Cooperman and Omega Advisers would pay $4.9 million and accept five years of monitoring but he could remain in the industry.