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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.

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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.

When Making a Fraud Claim, Choose Your Filing Date Wisely

Mon, 23 Jan 2017 11:43:02 -0500

The Supreme Court will consider when the S.E.C. must file a claim to recover money from a fraud. It’s not as simple as it sounds.

Enforcement Chief to Step Down at Financial Derivatives Regulator

Wed, 18 Jan 2017 12:50:36 -0500

Aitan Goelman will leave the Commodity Futures Trading Commission as a wave of prosecutors and enforcers depart in the Obama administration’s final days.

Why Dodd-Frank Has Little to Fear From Constitutional Challenges

Tue, 17 Jan 2017 17:57:35 -0500

While financial regulatory agencies have lost some battles, the courts’ remedies will not change how they operate.

Making Your Family Better at Personal Finance

Fri, 13 Jan 2017 18:31:08 -0500

A new book provides a good base for building what many desperately need: financial literacy.