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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 2016 The New York Times Company

Policing the Banks Is an Inside Job

Fri, 30 Sep 2016 22:19:37 -0500

Whistle-blowers could have revealed the scheme at Wells Fargo, but bank regulators are constrained from using them.

Glaxo to Pay $20 Million to Settle U.S. Bribery Case in China

Fri, 30 Sep 2016 16:25:09 -0500

The Securities and Exchange Commission said the company disguised bribes to foreign officials as legitimate travel, entertainment and marketing expenses.

Slouching Toward Accountability at Wells Fargo

Thu, 29 Sep 2016 16:42:30 -0500

Clawbacks of executive pay are an important step, but they won’t be enough to deter future wrongdoing.

Och-Ziff to Pay Over $400 Million in Bribery Settlement

Thu, 29 Sep 2016 16:19:02 -0500

OZ Africa Management, a unit of the hedge fund, pleaded guilty to bribing officials in Libya, Chad, Niger, Guinea and the Democratic Republic of Congo.

S.E.C. Takes Different Strategy in Insider Trading Case

Mon, 26 Sep 2016 13:23:56 -0500

The agency claims that the hedge fund manager Leon Cooperman breached a duty of trust by trading on confidential information.

A New Debate Over Pricing the Risks of Climate Change

Mon, 26 Sep 2016 11:10:40 -0500

Exxon Mobil says it’s not possible to predict how climate change will affect its business. A bill in Congress says it shouldn’t be asked to.

Fund Accused of Insider Trading

Fri, 23 Sep 2016 10:32:31 -0500

Was hedge fund pioneer Leon Cooperman turned in by his own son? “It could be a Shakespearean drama,” said Alexandra Stevenson, a New York Times reporter.

The Wells Fargo Spillover Effect

Thu, 22 Sep 2016 20:18:26 -0500

The company has agreed on fines, but top managers have not been punished in the opening of millions of unauthorized accounts.

Leon Cooperman, a Billionaire Charged With Insider Trading, Prepares to Fight

Wed, 21 Sep 2016 11:20:03 -0500

The Securities and Exchange Commission said Mr. Cooperman used inside information to buy Atlas Pipeline Partners stock before an asset sale.

How Companies Like Apple Dodge Taxes and Their Own Investors

Wed, 21 Sep 2016 03:21:04 -0500

With countries cracking down on elaborate tax schemes, companies need to be more forthright with their own investors.