SEC

Regulators are set to approve a contentious new rule requiring companies to disclose the pay gap between rank-and-file employees and the chief executive, marking the culmination of years of debate and pressure on the Securities and Exchange Commission over a mandate from the 2010 Dodd-Frank law.

The Securities and Exchange Commission on Wednesday took the first in a series of steps aimed at giving regulators a better handle on risk in the $60 trillion asset-management industry.

The SEC adopted new rules targeting conflicts of interest at credit ratings firms, a problem the regulatory agency said contributed significantly to the 2008 financial crisis.

A jailed con man has been charged for the second time this month with luring investors into a phony venture via made-up press releases -- this time a non-existent solar energy company.

HSBC said on Monday it was being investigated by the Securities and Exchange Commission in relation to hiring practices of candidates with ties to government officials in Asia.

The Securities and Exchange Commission on Tuesday charged two Connecticut-based Bitcoin mining companies and their founder with running a Ponzi scheme that defrauds investors.  

The regulatory agency filed 807 actions 'covering a wide range of misconduct' and collected about $4.2 billion in fines.

A Ukrainian trading firm has agreed to pay $30 million to settle charges it reaped illegal profits by using hacked information stolen from newswires to trade ahead of corporate moves.

Credit Suisse Group AG, one of the biggest operators of a "dark pool," reached a tentative agreement to pay around $85 million to New York and federal authorities to resolve allegations of wrongdoing in its private trading venue, according to a person familiar with the matter.

The wild market swoons that rattled Wall Street last month may create a new wave of controversy for the New York Stock Exchange. 

The Securities and Exchange Commission is investigating whether Diageo PLC has been shipping excess inventory to distributors in an effort to boost the liquor company's results, according to people familiar with the inquiry.

The SEC is reviewing the cause of the NYSE's trading snafu and how decisions were made in handling the shutdown. 

The top U.S. securities regulator on Thursday accused a Bulgarian man of being an architect behind hoaxes that fraudulently drove up share prices of Avon Products Inc and two other companies through bogus takeover bids.

U.S. regulators took aim at financier Lynn Tilton and her advisory business on Monday, saying she breached her fiduciary duty to investors by hiding the poor performance of loans underlying three collateralized loan obligations.

A business unit of Citigroup will pay $5 million to settle civil charges that one of its private trading venues violated federal law by not protecting clients' confidential trading data.

The SEC will widen its focus on market reforms aimed at leveling playing fields for all participants, now targeting bond markets.

The controversial practice of high-frequency trading could face far greater scrutiny from the Securities and Exchange Commission under an array of proposals.

The controversial practice of high-frequency trading could face far greater scrutiny from the Securities and Exchange Commission under an array of proposals.

The SEC recently contacted public funds with exposure to Russian markets to confirm they are weighing risks and properly disclosing their investments. U.S. May Sanction Russian Economy | Russia to Hit Back at 'Every Hostile Thrust'

Employees of the Securities and Exchange Commission have a penchant for selling stocks ahead of enforcement actions made by the regulator, according to a recent university study.