Home>Topics>Finance>Stock Exchange>Securities Exchange Commission

Securities Exchange Commission

  1. All
  2. Commentary
  3. Video Reports
  4. Headlines
  1. UPDATE 1-Macquarie to pay U.S. SEC $15 mln over China stock sale

    Headlines

    Fri, 27 Mar 2015

    March 27 (Reuters) - A unit of Australia's Macquarie Group Ltd will pay $15 million to settle U.S. Securities and Exchange Commission charges that it misled investors who bought shares of China's Puda Coal Inc in an offering it underwrote.

  2. Macquarie unit to pay $15 mln to settle U.S. SEC charges

    Headlines

    Fri, 27 Mar 2015

    March 27 (Reuters) - A unit of Australia's Macquarie Group Ltd will pay $15 million to settle U.S. Securities and Exchange Commission charges that it underwrote a stock offering for China-based Puda...

  3. Leon Cooperman's Omega Advisors gets federal subpoena-CNBC

    Headlines

    Thu, 26 Mar 2015

    March 26 (Reuters) - Leon Cooperman's Omega Advisors has been subpoenaed by the U.S. Attorney's office in New Jersey and by the U.S. Securities and Exchange Commission , according to a CNBC report.

  4. UPDATE 1-U.S. SEC probes American Apparel on matter related to ex-CEO

    Headlines

    Wed, 25 Mar 2015

    March 25 (Reuters) - American Apparel Inc said in a filing on Wednesday that the U.S. Securities and Exchange Commission has ordered an investigation into a potential legal violation related to its...

  5. American Apparel under scrutiny by U.S. regulator for possible violations

    Headlines

    Wed, 25 Mar 2015

    (Reuters) - American Apparel Inc said in a filing on Wednesday that the U.S. Securities and Exchange Commission has ordered an investigation into a potential legal violation related to Dov Charney, the company's former chief executive officer.

  6. American Apparel under scrutiny by U.S. regulator for possible violations

    Headlines

    Wed, 25 Mar 2015

    March 25 (Reuters) - American Apparel Inc said in a filing on Wednesday that the U.S. Securities and Exchange Commission has ordered an investigation into a potential legal violation related to Dov...

  7. UPDATE 1-U.S. SEC proposes more oversight for high-speed traders

    Headlines

    Wed, 25 Mar 2015

    WASHINGTON/NEW YORK March 25 (Reuters) - High-speed stock trading firms that execute transactions away from exchanges would be subject to greater regulatory oversight under a proposal unveiled on Wednesday by the U.S. Securities and Exchange Commission .

  8. Tuttle Tactical Management Weekly Market Notes

    Headlines

    Wed, 25 Mar 2015

    Tuttle Tactical Management, LLC is an investment adviser registered with the U.S. Securities and Exchange Commission . You should not assume that any discussion or information contained in this letter serves as the receipt of, or as a substitute for, personalized investment advice from Tuttle ...

  9. US SEC adopts new rules for "Regulation A" public stock deals

    Headlines

    Wed, 25 Mar 2015

    WASHINGTON, March 25 (Reuters) - The U.S. Securities and Exchange Commission voted unanimously on Wednesday to adopt a rule set designed to help small businesses raise capital through smaller and medium-sized public stock offerings known as "Regulation A."

  10. US SEC proposes rules to beef up oversight of high-speed traders

    Headlines

    Wed, 25 Mar 2015

    WASHINGTON, March 25 (Reuters) - The U.S. Securities and Exchange Commission voted unanimously on Wednesday to put forth a plan that will require high-speed proprietary trading firms to register with Wall Street's self-funded regulator.

« Prev12345Next »
Content Partners