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Exclusive: Democrats consider a lawyer and a law professor for commissioner seat at SEC - sources

1:50am, 3rd August, 2019

Exclusive: Democrats consider a lawyer and a law professor for commissioner seat at SEC - sources

Democrats are considering an attorney and a law professor to replace Democratic Commissioner Robert Jackson when he steps down from the U.S. Securities and Exchange Commission (SEC), expected in coming months, according to three people with direct kn...

Exclusive - Democrats consider a lawyer and a law professor for commissioner seat at SEC: sources

8:36pm, 2nd August, 2019

Exclusive - Democrats consider a lawyer and a law professor for commissioner seat at SEC: sources

Democrats are considering an attorney and a law professor to replace Democratic Commissioner Robert Jackson when he steps down from the U.S. Securities and Exchange Commission (SEC), expected in coming months, according to three people with direct kn...

Exclusive - Democrats consider Caroline Crenshaw, Urska Velikonja to fill commissioner seat at U.S. SEC: sources

4:24pm, 2nd August, 2019

Exclusive - Democrats consider Caroline Crenshaw, Urska Velikonja to fill commissioner seat at U.S. SEC: sources

Democrats are considering an attorney and a law professor to replace Democratic Commissioner Robert Jackson when he steps down from the U.S. Securities and Exchange Commission (SEC), expected in coming months, according to three people with direct kn...

SEC commissioner decries agency's deal with Tesla's Musk

11:09pm, 30th April, 2019

SEC commissioner decries agency's deal with Tesla's Musk

A U.S. Securities and Exchange commissioner on Tuesday criticized a settlement between the regulator and Tesla Inc CEO Elon Musk over his use of Twitter.

SEC fines Prosper Funding $3 million for overstating net returns to investors

10:48am, 19th April, 2019

SEC fines Prosper Funding $3 million for overstating net returns to investors

The Securities and Exchange Commission on Friday said Silicon Valley-based Prosper Funding LLC will pay a $3 million penalty for miscalculating and materially overstating annualized net returns to retail and other investors.

Tesla's Elon Musk, SEC get another week to work out deal on Twitter use

10:36pm, 18th April, 2019

Tesla's Elon Musk, SEC get another week to work out deal on Twitter use

Tesla Inc Chief Executive Elon Musk and the U.S. Securities and Exchange Commission will get another week to settle a dispute over Musk's use of Twitter, a federal judge ruled Thursday.

Tesla's Elon Musk arrives in court to square off with SEC at contempt hearing

1:08pm, 4th April, 2019

Tesla's Elon Musk arrives in court to square off with SEC at contempt hearing

Tesla Inc Chief Executive Elon Musk arrived in Manhattan federal court on Thursday for a hearing on whether he violated a fraud agreement and should be held in contempt, the latest twist in a high-profile battle between the billionaire and the govern...

SEC delays disputed plan to probe exchange pricing conflicts

10:37pm, 28th March, 2019

SEC delays disputed plan to probe exchange pricing conflicts

The U.S. Securities and Exchange Commission on Thursday delayed a controversial plan aimed at evaluating how stock exchange fees and incentives affect how brokers trade, while the exchanges sue the regulator in an attempt to kill the experiment.

Tesla's Elon Musk, SEC to face off in U.S. court on April 4

5:47pm, 26th March, 2019

Tesla's Elon Musk, SEC to face off in U.S. court on April 4

Lawyers for Elon Musk and the U.S. Securities and Exchange Commission will square off in a Manhattan courtroom next week over whether the Tesla Inc chief executive should be held in contempt over one of his tweets.

SEC sues Volkswagen, Winterkorn, citing 'Dieselgate' fraud on investors

1:20am, 15th March, 2019

SEC sues Volkswagen, Winterkorn, citing 'Dieselgate' fraud on investors

The U.S. Securities and Exchange Commission sued Volkswagen AG and its former chief executive Martin Winterkorn over the German automaker's diesel emissions scandal, accusing the company of perpetrating a "massive fraud" on U.S. investors.

Exclusive: SEC scrutinizes fairness of stock exchange pricing

6:33pm, 7th March, 2019

Exclusive: SEC scrutinizes fairness of stock exchange pricing

The U.S. Securities and Exchange Commission is investigating whether the multi-tiered pricing system used by stock exchanges favors large brokers at the expense of small ones, according to a person familiar with the matter.

SEC asks judge to hold Tesla's Musk in contempt of violating deal

6:46pm, 25th February, 2019

SEC asks judge to hold Tesla's Musk in contempt of violating deal

The U.S. Securities and Exchange Commission on Monday asked a judge to hold Tesla Inc's Chief Executive Officer Elon Musk in contempt of violating a court's order last year.

HNA cuts stake in Deutsche Bank to 6.3 percent: SEC filing

3:07am, 16th February, 2019

HNA cuts stake in Deutsche Bank to 6.3 percent: SEC filing

Chinese conglomerate HNA has cut its stake in Deutsche Bank to 6.3 percent, according to a filing with the U.S. Securities and Exchange Commission.

SEC to review corporate democracy rules risking investor clash

7:11am, 9th November, 2018

SEC to review corporate democracy rules risking investor clash

The U.S. securities regulator is set to review this month rules on corporate democracy, setting it up for a clash with investors who worry the agency will side with companies to diminish voting rights on charged issues like climate change and gun vio...

Tesla shares fall after Musk mocks SEC on Twitter

9:50am, 5th October, 2018

Tesla shares fall after Musk mocks SEC on Twitter

Shares of Tesla Inc fell as much as 5 percent on Friday, after Chief Executive Elon Musk stirred nerves about the settlement of his securities fraud lawsuit by mocking the U.S. Securities and Exchange Commission on Twitter.

Tesla investor spoke with SEC about 'funding secured' tweet

1:11pm, 12th September, 2018

Tesla investor spoke with SEC about 'funding secured' tweet

Tesla Inc's biggest institutional investor said on Wednesday it had spoken to U.S. securities regulators about Elon Musk's plans to take the electric carmaker private and that the chief executive needs help running the company.

Aegon, Transamerica in $97.6 million SEC settlement for misleading investors

3:02pm, 27th August, 2018

Aegon, Transamerica in $97.6 million SEC settlement for misleading investors

Four Transamerica entities will pay $97.6 million to settle U.S. Securities and Exchange Commission charges that they sold investments that were supposedly based on quantitative models but which did not work as intended, the regulator said on Monday.

SEC to review decision rejecting bitcoin ETFs

5:44am, 24th August, 2018

SEC to review decision rejecting bitcoin ETFs

The U.S. Securities and Exchange Commission said on Thursday it will review a decision by its staff to block nine bitcoin-based exchange-traded funds from coming to market.

Trump asks SEC to consider switch to half-year corporate filings

11:08am, 17th August, 2018

Trump asks SEC to consider switch to half-year corporate filings

U.S. President Donald Trump on Friday said meetings with corporate executives had prompted him to ask the U.S. Securities and Exchange Commission (SEC) to study letting public companies file financial reports every six months instead of every quarter...

SEC asked to study six-month filing system for companies: Trump

7:18am, 17th August, 2018

SEC asked to study six-month filing system for companies: Trump

U.S. President Donald Trump on Friday said he has asked the U.S. Securities and Exchange Commission to study the impact of allowing companies to file reports with the financial regulator every six months rather than quarterly.

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