SEC© News and Public Statement is a content hub that provides up to date industry news and SEC© press releases.
Publisher: InvestmentNews The following is an edited version of testimony by Securities and Exchange Commission Chairwoman Mary Jo White May 5 before the Senate Appropriations Subcommittee on Financial Services and General Government. Understanding the growth in the size and complexity…
SEC© Press Release on 5/6/2015 The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or…
Publisher: CNBC Author: Bob Pisani On the fifth anniversary of the Flash Crash, I sat down with SEC© Commissioner Dan Gallagher to talk about what changes have been made to the way trading has been conducted since then. The conversation quickly…
SEC© Press Release: April 1st, 2015 The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process. The SEC© charged Houston-based…
Publisher: Bloomberg Authors: Liza Capo McCormick and Susanne Walker Get ready for a disastrous year for US government bonds. That’s the message Wall Street forecasters are sending. With Fed Chair Janet Yellen poised to raise interests in 2015 for the…
SEC© Press Release: December 30th 2014 The SEC© today announced the launch of a pilot program to facilitate investor analysis of corporate financial data and comparisons of public company financial statement data. Under the new program, data that companies provide…
Publisher: WSJ Author: Andrew Ackerman The top US Securities regulator says it is reviewing a federal appeals court ruling that overturned two criminal insider-trading convictions and effectively made prosecuting the crime more difficult. There’s no question it’s a significant decision,”…
Publisher: Reuters Authors: Sarah Lynch and John McCrank The US SEC© plans to launch a sweeping set of reforms designed to ensure that large asset managers are properly dealing with risks and have plans to wind down in the event…
Publisher: NY Times Author: Ben Protess A federal appeals court on Wednesday overturned two of the government’s signature insider trading convictions, a stunning blow to prosecutors and their campaign to root out illegal activity on Wall Street. In a 28…
Publisher: Reuters Author: Nate Raymond A Manhattan federal judge who gained prominence by rejecting SEC© bank settlements urged the agency to reconsider becoming “a law unto itself” by increasingly bringing cases in-house instead of in court. US District Judge Jed…