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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
 



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.



Will Jay Clayton Protect Investors?

Sat, 07 Jan 2017 14:30:02 -0500

Donald Trump has named a Wall Street lawyer to run the S.E.C. Mr. Clayton has the smarts, but does he have the will to protect investors?



Mr. Trump, Washington Could Use a Few Good Managers

Thu, 05 Jan 2017 14:34:16 -0500

What would happen if Mr. Trump’s corporate cabinet actually brought management innovation to the federal government?