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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

S.E.C. Seeks to Require Brokers to Put Their Clients First

Thu, 19 Apr 2018 00:46:50 GMT

Hoping to strengthen consumer protections, the agency voted to propose rules that would require brokers to put their customers’ financial interests ahead of their own.

Why Elizabeth Warren’s Effort to Hold Bank Executives Accountable May Fall Short

Tue, 03 Apr 2018 22:27:34 GMT

Legislation introduced last month to better hold financial executives accountable for misconduct probably won’t result in a wave of prosecutions.

2 Founders of $32 Million Centra Virtual Currency Project Are Arrested

Tue, 03 Apr 2018 01:10:54 GMT

The company raised millions from investors in an initial coin offering last year, with backing from the boxing great Floyd Mayweather.

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

Thu, 22 Mar 2018 19:26:00 GMT

Martin Shkreli, convicted of fraud for actions around his hedge fund, is going to prison. So far, Elizabeth Holmes, who sold 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.