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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

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.

Money Market Funds and C.D.s Show Signs of Life

Fri, 13 Jan 2017 16:22:38 -0500

As interest rates rise, money market funds, certificates of deposit and short-term bonds are delivering higher yields — but investors should be choosy.

S.E.C. Inertia on Paybacks Adds to Investor Harm

Fri, 13 Jan 2017 15:06:36 -0500

The glacial pace of a Citigroup restitution plan raises questions about how “fair funds” are administered and who benefits from delays.

JPMorgan Ordered to Pay Damages for Firing Whistle-Blower

Wed, 11 Jan 2017 16:45:34 -0500

The bank broke the law by retaliating against a broker who said he was pressured to sell unsuitable investment funds, the government said.

Under New Chairman, S.E.C. Enforcer Role Might Shrink

Mon, 09 Jan 2017 16:10:26 -0500

The choice of a Wall Street deal-maker to head the agency raises questions about enforcement, Peter J. Henning writes in the White Collar Watch column.