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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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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.

A Whack at Dodd-Frank Could Hamstring the S.E.C.

Mon, 24 Apr 2017 18:04:01 -0500

The Financial Choice Act 2.0 could make life easier for Wall Street defendants accused of wrongdoing, or at the least slow the enforcement process down.

Auditing the Auditors

Fri, 14 Apr 2017 03:21:24 -0500

Investors still have good reason to be wary about the honesty and accuracy of audited financial statements.

Plenty More Villains at Wells Fargo

Wed, 12 Apr 2017 03:21:14 -0500

Revoking a few bonuses is just a start. The bank must do a lot more to restore trust.