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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

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.

Why People Persist in Risky Trading

Mon, 15 May 2017 14:34:22 -0500

When they have good careers, and their questionable deals don’t even make that much, why do they do it? Perhaps it’s hubris, mixed with the lure of easy money.

Carl Icahn Scrutinized for Shaping Policy That Helped Him Profit

Tue, 09 May 2017 17:39:59 -0500

Eight Democratic senators said Mr. Icahn, a billionaire hedge fund manager, used his influence in the Trump administration to make a $50 million gain.

Should Free Markets Govern the Bond Rating Agencies?

Fri, 05 May 2017 14:39:47 -0500

The S.E.C. has strict oversight of which companies, like Moody’s and Standard & Poor’s, can rate corporate bonds, but that system isn’t working well.

In S.E.C.’s Streamlined Court, Penalty Exerts a Lasting Grip

Thu, 04 May 2017 05:00:27 -0500

A money manager settled his case with the S.E.C. thinking he could go back to work in a year. Nearly five years later, he is still waiting.

A Whistle Was Blown, but Who Was Listening?

Fri, 28 Apr 2017 13:54:40 -0500

A former employee of Radian, the mortgage insurer, raised red flags and found himself in a lesser job; the S.E.C. has so far been mum.