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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

Wells Fargo Shows Erosion of Corporate Accountability Under Trump

Mon, 14 Aug 2017 12:45:22 -0500

The prospect of further regulatory actions against the bank, whose misdeeds are far-reaching, appear to be diminishing under the Trump administration.

Despite S.E.C. Warning, Wave of Initial Coin Offerings Grows

Mon, 07 Aug 2017 15:31:20 -0500

Several coming coin offerings have hired lawyers to try to play by the rules. Others prohibit Americans from investing.

When Brokers Want to Move Your Money Out of a Very Good Thing

Fri, 04 Aug 2017 05:00:38 -0500

Everyone should have a retirement plan as good as the Thrift Savings Plan that federal workers use. Here’s what happened when outside advisers tried to pry money loose.

Jury in Martin Shkreli Fraud Trial Has Questions for the Judge

Tue, 01 Aug 2017 16:12:34 -0500

After deliberating for more than a day and a half in the Federal District Court in Brooklyn, jurors sent their first substantive note.

A Test for the Market in Initial Coin Offerings

Wed, 26 Jul 2017 13:16:43 -0500

The prospect of regulatory requirements raises the question of whether the offerings provide any advantage over crowdfunding, venture capital or initial public offerings.

S.E.C. Issues Warning on Initial Coin Offerings

Tue, 25 Jul 2017 21:51:08 -0500

The agency said that at least some virtual currencies being sold to investors should be categorized as securities and needed to follow federal laws.

S.E.C. Upholds Dismissal of Wells Fargo Insider Trading Case

Sun, 16 Jul 2017 19:03:58 -0500

The case was a rare loss for the commission’s enforcement division in an internal administrative proceeding.

Martin Shkreli’s Ex-Mentor Testifies About His Bad Behavior

Wed, 12 Jul 2017 20:11:45 -0500

Steven Richardson, who as chairman of Retrophin fired him as chief executive, was a witness in Mr. Shkreli’s Brooklyn trial on charges of wire and securities fraud.

New S.E.C. Chairman Pledges to Look After Ordinary Investors

Wed, 12 Jul 2017 15:27:22 -0500

Walter J. Clayton also called for greater transparency in the sale and marketing of bonds to retail investors, in a speech to the Economic Club of New York.

Confidential I.P.O. Filings Work, if They Stay Confidential

Fri, 07 Jul 2017 15:11:43 -0500

Such secrecy will make the process of going public easier. But it will widen the circle of people who know about pending offerings before investors do.