SEC

Third Avenue Management LLC has reached an agreement with the Securities and Exchange Commission to provide investors with updated values on its Third Avenue Focused Credit Fund, as the firm unwinds the troubled fund over the next year or so.

Bond giant Pacific Investment Management Co. disclosed that it received a Wells Notice from the staff of the U.S. Securities and Exchange Commission concerning a popular exchange-traded fund, the Pimco Total Return ETF.

25 years later the Securities & Exchange Commission is still chasing Michael Milken.   

The U.S. Securities and Exchange Commission is investigating allegations that Andrew Liveris, chairman and chief executive officer of industrial giant Dow Chemical, misused company funds for personal benefit, according to people familiar with the matter.

SEC Chair Mary Jo White unveiled a sweeping new program for reducing “undue” risk in the $63 trillion asset management business.

The SEC unanimously approved new rules intended to protect big exchanges and investors from technological glitches that can throw markets into disarray.

Barclays Capital Inc., a unit of Barclays PLC, has agreed to pay a $15 million fine for failing to beef up its compliance system after acquiring Lehman Brothers advisory business in 2008.

An appeals court has thrown out a controversial 2011 ruling by a judge who refused to approve a $285 billion fraud settlement between Citigroup and the Securities and Exchange Commission.

The SEC charged Keith Seilhan with trading on non-public information obtained during the time he was helping BP clean up oil from the Deepwater wreck. 

Hewlett-Packard crafted a $108 million settlement with regulators over potential violations of the Foreign Corrupt Practices Act.

Another member of Steven A. Cohen’s team at the hedge fund formerly known as SAC Capital Advisors has been charged with illegal insider trading.

Former Goldman Sachs bond salesman Fabrice Tourre’s request for a new trial was denied on Tuesday by a federal judge in New York.

Archer-Daniels-Midland has agreed to pay about $54 million to settle civil and criminal charges in connection with an international bribery scam.

Shares of nutrition company Herbalife soared almost 10% after it said a re-audit following the KPMG scandal required no material changes. 

Shares of nutrition company Herbalife soared almost 10% after it said a re-audit following the KPMG scandal required no material changes. 

Shares of nutrition company Herbalife soared almost 10% after it said a re-audit following the KPMG scandal required no material changes. 

Bank of America’s Merrill Lynch unit has agreed to pay $132 million to settle civil charges that it misled investors while marketing CDOs in the run-up to the financial crisis.

Confidential documents show JPMorgan tracked its record for converting hires of sons and daughters of Chinese elites into business deals there.

The SEC has announced a $20,000 settlement with a municipal bond issuer in Washington state accused of deceiving investors, the first such financial penalty ever levied by the SEC.

The U.S. bank with the biggest international business, said government agencies and authorities are investigating its foreign-ex trading.