http://www.mail.com/organizations/14888-us-securities-exchange-commission.html Mail.com - the best personalized free web-based Email en en http://sec-s.uicdn.com/mail.com/2.29/img/mailcom_logo_rss.png http://www.mail.com/organizations/14888-us-securities-exchange-commission.html http://www.mail.com/business/finance/2144522-cboe-paying-6m-to-settle-charges-oversight.html WASHINGTON (AP) — The largest U.S. options exchange has agreed to pay a $6 million penalty to settle federal charges that it failed in its duty to enforce trading rules. The Securities and Exchange Commission said Tuesday that the penalty being paid by the Chicago Board Options Exchange was the first imposed against an exchange for failures of regulatory ... Tue, 11 Jun 2013 19:03:51 GMT http://www.mail.com/business/finance/2144522-cboe-paying-6m-to-settle-charges-oversight.html 2013-06-11T19:03:51Z http://www.mail.com/business/economy/2131036-considers-tougher-rules-money-funds.html WASHINGTON (AP) — Investors could lose principal from money market investment funds that perform poorly under regulations proposed Wednesday by the Securities and Exchange Commission. But the change would affect mainly institutional rather than individual investors. The SEC voted 5-0 to advance the plan, which would require shares of some money-market fun... Wed, 05 Jun 2013 20:32:21 GMT http://www.mail.com/business/economy/2131036-considers-tougher-rules-money-funds.html 2013-06-05T20:32:21Z http://www.mail.com/business/finance/2130310-to-consider-tougher-rules-money-funds.html WASHINGTON (AP) — The Securities and Exchange Commission is expected on Wednesday to propose stricter regulations for money-market mutual funds, hoping to shore up an industry that posed risks to investors at the height of the 2008 financial crisis. SEC officials have yet to make public any proposed changes to its oversight of the $2.7 trillion industry. ... Wed, 05 Jun 2013 10:28:03 GMT http://www.mail.com/business/finance/2130310-to-consider-tougher-rules-money-funds.html 2013-06-05T10:28:03Z http://www.mail.com/business/economy/2116682-nasdaq-paying-10m-to-settle-facebook-disruption.html WASHINGTON (AP) — Nasdaq has agreed to pay a $10 million penalty to settle federal civil charges after regulators said its systems and decisions disrupted Facebook's public stock offering last year. The Securities and Exchange Commission said Wednesday that the penalty is the largest ever imposed against an exchange. Nasdaq also has had to pay $62 million... Wed, 29 May 2013 23:06:08 GMT http://www.mail.com/business/economy/2116682-nasdaq-paying-10m-to-settle-facebook-disruption.html 2013-05-29T23:06:08Z http://www.mail.com/business/finance/2107934-china-us-regulators-access-to-audit-records.html WASHINGTON (AP) — China has agreed to give U.S. regulators access to audit records for Chinese companies whose shares trade on U.S. stock exchanges, a step forward in a long-running dispute. The Public Company Accounting Oversight Board, a watchdog agency for the accounting industry, announced the agreement with China on Friday. The Securities and Exchang... Fri, 24 May 2013 14:35:29 GMT http://www.mail.com/business/finance/2107934-china-us-regulators-access-to-audit-records.html 2013-05-24T14:35:29Z http://www.mail.com/business/economy/2105818-shareholder-adviser-firm-paying-300000-fine.html WASHINGTON (AP) — A prominent firm in the business of advising big shareholders on how to vote in elections for company directors is paying a $300,000 fine to settle federal civil charges of failing to protect clients' confidential voting information. Institutional Shareholder Services agreed to the penalty in a settlement announced Thursday with the Secu... Thu, 23 May 2013 18:44:49 GMT http://www.mail.com/business/economy/2105818-shareholder-adviser-firm-paying-300000-fine.html 2013-05-23T18:44:49Z http://www.mail.com/business/economy/2074168-hedge-fund-manager-falcone-to-settle-fraud-case.html WASHINGTON (AP) — Billionaire hedge fund manager Philip Falcone and his firm have agreed to pay $18 million to settle civil fraud charges that he used fund money to pay his taxes and favored some clients over others. Falcone would be barred for two years from working as an investment adviser or broker under the agreement in principle between the Securitie... Thu, 09 May 2013 23:56:05 GMT http://www.mail.com/business/economy/2074168-hedge-fund-manager-falcone-to-settle-fraud-case.html 2013-05-09T23:56:05Z http://www.mail.com/news/politics/2069992-venezuelan-bank-official-charged-ny-bribe-case.html NEW YORK (AP) — A senior Venezuelan banking official is being held in Miami on charges that she accepted at least $5 million in bribes to funnel business to two Miami broker-dealers, federal authorities in Manhattan announced Tuesday. Maria de Los Angeles Gonzalez de Hernandez, 54, of Caracas, Venezuela, who worked at Venezuela's state economic developmen... Tue, 07 May 2013 23:56:37 GMT http://www.mail.com/news/politics/2069992-venezuelan-bank-official-charged-ny-bribe-case.html 2013-05-07T23:56:37Z http://www.mail.com/scitech/news/2042510-phony-tweet-computer-trades-sank-stocks.html NEW YORK (AP) — For a few surreal minutes, a mere 12 words on Twitter caused the world's mightiest stock market to tremble. No sooner did hackers send a false Associated Press tweet reporting explosions at the White House on Tuesday than investors started dumping stocks — eventually unloading $134 billion worth. Except most of the investors weren't human.... Thu, 25 Apr 2013 00:08:42 GMT http://www.mail.com/scitech/news/2042510-phony-tweet-computer-trades-sank-stocks.html 2013-04-25T00:08:42Z http://www.mail.com/news/us/2039370-argentina-tells-wants-proof-bribery-case.html BUENOS AIRES, Argentina (AP) — Argentina wants the U.S. Securities and Exchange Commission to name names and provide proof that Ralph Lauren Corp. bribed customs officials for years to allow its products into the South American country. Tax chief Ricardo Echegary came out swinging Tuesday after the U.S. government announced that the designer label had coo... Tue, 23 Apr 2013 18:39:24 GMT http://www.mail.com/news/us/2039370-argentina-tells-wants-proof-bribery-case.html 2013-04-23T18:39:24Z http://www.mail.com/business/economy/2013308-ex-kpmg-partner-hit-with-civil-criminal-charges.html LOS ANGELES (AP) — It has shades of a Hollywood crime story. An accountant and a jeweler are longtime friends and golf partners. But then the down-on-his-luck jeweler convinces the accountant to pass along private information about clients, and uses the insider information to play the stock market and win big. Bags of cash swap hands in alleys. Then the f... Fri, 12 Apr 2013 01:54:32 GMT http://www.mail.com/business/economy/2013308-ex-kpmg-partner-hit-with-civil-criminal-charges.html 2013-04-12T01:54:32Z http://www.mail.com/scitech/health/2010906-agency-by-agency-guide-to-obamas-2014-budget.html WASHINGTON (AP) — President Barack Obama has proposed a $3.8 trillion budget for fiscal 2014 that aims to slash the deficit by a net $600 billion over 10 years, raise taxes and trim popular benefit programs, including Social Security and Medicare. The White House claims deficit reductions of $1.8 trillion, but Obama's proposal would negate more than $1 trillion in automatic ... Wed, 10 Apr 2013 23:41:12 GMT http://www.mail.com/scitech/health/2010906-agency-by-agency-guide-to-obamas-2014-budget.html 2013-04-10T23:41:12Z http://www.mail.com/business/economy/2010396-minutes-fed-supports-stimulus-through-midyear.html WASHINGTON (AP) — A majority of Federal Reserve policymakers want to continue extraordinary bond purchases to help boost the U.S. economy at least through the middle of the year, according to minutes from the Fed's last meeting released Wednesday. But many members indicated they want to slow and eventually end the program before the end of the year, as lo... Wed, 10 Apr 2013 22:02:24 GMT http://www.mail.com/business/economy/2010396-minutes-fed-supports-stimulus-through-midyear.html 2013-04-10T22:02:24Z http://www.mail.com/news/politics/2006196-senate-confirms-white-to-head.html WASHINGTON (AP) — The U.S. Senate has confirmed Mary Jo White's nomination as chairman of the Securities and Exchange Commission, making her the first former prosecutor to lead the federal agency that oversees Wall Street. White was approved Monday by a Senate voice vote. She will replace Elisse Walter, who has been interim SEC chairman since Mary Schapir... Mon, 08 Apr 2013 20:20:33 GMT http://www.mail.com/news/politics/2006196-senate-confirms-white-to-head.html 2013-04-08T20:20:33Z http://www.mail.com/business/economy/1993792-companies-to-use-social-media.html WASHINGTON (AP) — The Securities and Exchange Commission will allow public companies to make significant announcements on Facebook, Twitter and other social media sites provided they alert investors which sites they intend to use. The decision announced Tuesday allows companies to use social media in place of more formal websites. The question arose after... Tue, 02 Apr 2013 21:29:59 GMT http://www.mail.com/business/economy/1993792-companies-to-use-social-media.html 2013-04-02T21:29:59Z http://www.mail.com/business/economy/1987328-portfolio-manager-accused-insider-trading-case.html NEW YORK (AP) — A senior portfolio manager for one of the nation's largest hedge funds was arrested Friday, accused of joining an insider trading conspiracy that the government said made more than $6 million illegally for the powerhouse investment company founded by billionaire businessman Steven A. Cohen. The arrest broadens the government's probe of tra... Fri, 29 Mar 2013 20:30:33 GMT http://www.mail.com/business/economy/1987328-portfolio-manager-accused-insider-trading-case.html 2013-03-29T20:30:33Z http://www.mail.com/business/economy/1981972-wal-mart-loss-bribery-probe.html NEW YORK (AP) — Wal-Mart Stores Inc. said it is 'probable' that the world's largest retailer will incur a loss due to ongoing bribery investigations by itself and government agencies, but it says it is too early to speculate on the size of the damage. The company said it does not currently expect the loss to be material. The statements came in a filing wi... Wed, 27 Mar 2013 23:28:49 GMT http://www.mail.com/business/economy/1981972-wal-mart-loss-bribery-probe.html 2013-03-27T23:28:49Z http://www.mail.com/business/economy/1977830-approves-nasdaqs-facebook-ipo-payment-plan.html NEW YORK (AP) — The Securities and Exchange Commission said Monday that it has approved a plan by the Nasdaq stock exchange to pay $62 million in reimbursements to investment firms that lost money because of technical problems during Facebook's initial public offering last year. The Nasdaq had said in June that it would pay $40 million but later increased... Mon, 25 Mar 2013 14:53:39 GMT http://www.mail.com/business/economy/1977830-approves-nasdaqs-facebook-ipo-payment-plan.html 2013-03-25T14:53:39Z http://www.mail.com/news/world/1973338-judge-raises-free-speech-question-rule.html WASHINGTON (AP) — A federal appeals court judge asked Friday how a new federal rule requiring publicly traded companies to disclose payments of $100,000 or more to foreign governments squares with the First Amendment's free speech protection. The Securities and Exchange Commission rule applies to payments for commercial development of oil, gas or minerals... Fri, 22 Mar 2013 17:07:41 GMT http://www.mail.com/news/world/1973338-judge-raises-free-speech-question-rule.html 2013-03-22T17:07:41Z http://www.mail.com/business/economy/1970832-brother-hedge-fund-founder-indicted-nyc.html NEW YORK (AP) — The brother of a jailed one-time billionaire hedge fund boss has been charged with conspiring with his brother to cheat on Wall Street and earn nearly $1.2 million illegally, federal authorities announced Thursday. Rengan Rajaratnam, 42, of Manhattan, was charged in an indictment returned Wednesday and unsealed a day later with conspiracy ... Thu, 21 Mar 2013 20:33:25 GMT http://www.mail.com/business/economy/1970832-brother-hedge-fund-founder-indicted-nyc.html 2013-03-21T20:33:25Z http://www.mail.com/business/economy/1964764-senate-panel-advances-white-nomination-to-head.html WASHINGTON (AP) — A Senate panel has approved Mary Jo White's nomination to lead the Securities and Exchange Commission and sent it along for a final vote. The Senate Banking Committee approved White's nomination on a 21-1 vote. Sen. Sherrod Brown, D-Ohio, was the only member to object. White is expected to be confirmed by the full Senate and become the f... Tue, 19 Mar 2013 14:59:46 GMT http://www.mail.com/business/economy/1964764-senate-panel-advances-white-nomination-to-head.html 2013-03-19T14:59:46Z http://www.mail.com/business/economy/1957866-sac-affiliate-pays-600m-to-settle-trading-charges.html Two affiliates of SAC Capital Advisors, the hedge fund run by billionaire Steven Cohen, will pay more than $614 million in what federal regulators are calling the largest insider trading settlement ever. The Securities and Exchange Commission charged CR Intrinsic Investors with insider trading in 2012, alleging that portfolio manager Mathew Martoma illega... Fri, 15 Mar 2013 23:28:06 GMT http://www.mail.com/business/economy/1957866-sac-affiliate-pays-600m-to-settle-trading-charges.html 2013-03-15T23:28:06Z http://www.mail.com/business/economy/1948662-white-promises-unrelenting-enforcement.html WASHINGTON (AP) — Mary Jo White vowed Tuesday to make "bold and unrelenting" enforcement of Wall Street a high priority if she is confirmed chairman of the Securities and Exchange Commission. The former federal prosecutor told a Senate panel that investors need to know the playing field is level and that wrongdoers will be "aggressively and successfully" ... Tue, 12 Mar 2013 16:45:56 GMT http://www.mail.com/business/economy/1948662-white-promises-unrelenting-enforcement.html 2013-03-12T16:45:56Z http://www.mail.com/news/politics/1948058-senate-panel-to-question-obamas-nominee.html WASHINGTON (AP) — Mary Jo White, President Barack Obama's pick to be chairman of the Securities and Exchange Commission, will likely face tough questions Tuesday from senators about her decade of legal work representing some of the nation's largest banks and corporations. But after the Senate Banking Committee hearing is over, White is ultimately expected... Tue, 12 Mar 2013 10:20:19 GMT http://www.mail.com/news/politics/1948058-senate-panel-to-question-obamas-nominee.html 2013-03-12T10:20:19Z http://www.mail.com/sports/basketball/1933384-mark-cuban-loses-bid-to-dump-insider-trading-case.html DALLAS (AP) — A federal judge has denied a request by Dallas Mavericks owner Mark Cuban to throw out a civil lawsuit accusing him of insider trading. U.S. District Judge Sidney Fitzwater issued an order Tuesday rejecting Cuban's request for summary judgment against the Securities and Exchange Commission. The SEC accused Cuban in 2008 of selling shares in ... Tue, 05 Mar 2013 17:10:09 GMT http://www.mail.com/sports/basketball/1933384-mark-cuban-loses-bid-to-dump-insider-trading-case.html 2013-03-05T17:10:09Z http://www.mail.com/news/politics/1927682-lv-sands-violated-anti-bribery-law.html LAS VEGAS (AP) — Las Vegas Sands Corp. says in a regulatory filing that it probably violated a federal law that prohibits bribing foreign officials. The casino company said in a filing Friday that the Securities and Exchange Commission asked two years ago for records relating to compliance with the Foreign Corrupt Practices Act. Las Vegas Sands, which is ... Sat, 02 Mar 2013 23:24:44 GMT http://www.mail.com/news/politics/1927682-lv-sands-violated-anti-bribery-law.html 2013-03-02T23:24:44Z http://www.mail.com/business/economy/1918966-court-extra-time-to-sue-securities-fraud.html WASHINGTON (AP) — The Supreme Court says the federal government doesn't get more time to sue for securities fraud. Justices on Wednesday said the Securities and Exchange Commission must file suit within five years of an alleged fraudulent security action, but that the SEC can't start the clock running whenever it discovers a bad practice. Wed, 27 Feb 2013 15:35:05 GMT http://www.mail.com/business/economy/1918966-court-extra-time-to-sue-securities-fraud.html 2013-02-27T15:35:05Z http://www.mail.com/business/economy/1895548-alleges-insider-trading-ahead-heinz-deal.html WASHINGTON (AP) — Federal regulators have alleged that a brokerage account in Switzerland was used for illegal insider trading ahead of the H.J. Heinz acquisition Thursday. The Securities and Exchange Commission obtained a court order Friday to freeze the account and prevent the assets from being moved. The account was used for trades placed Wednesday tha... Fri, 15 Feb 2013 23:00:31 GMT http://www.mail.com/business/economy/1895548-alleges-insider-trading-ahead-heinz-deal.html 2013-02-15T23:00:31Z http://www.mail.com/scitech/news/1874990-investor-sues-apple-wants-cash.html NEW YORK (AP) — With its annual meeting looming and its stock on the decline, Apple is facing a rebellion from an influential investor who wants the company to stop stockpiling cash and give it to shareholders instead. Greenlight Capital said Thursday that it is suing Apple in a New York federal court over the company's proposal to make it more difficult ... Fri, 08 Feb 2013 00:03:00 GMT http://www.mail.com/scitech/news/1874990-investor-sues-apple-wants-cash.html 2013-02-08T00:03:00Z