Securities and Exchange Commission

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SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company

17/07/2014(0)
The Securities and Exchange Commission has announced fraud charges against four individuals and a microcap company for concealing from investors that two lawbreakers ran the company. According to the ... Read More
wall_street

Shares of tiny Facebook rival wannabe halted

11/07/2014(0)
A little known company that’s turned into a strange sensation on Wall Street saw its shares get halted Friday. Cynk Technology, a company that claims to be building “social ... Read More
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SEC readies new rules for money funds

10/07/2014(0)
The Securities and Exchange Commission (SEC) may soon roll out new regulations for money market mutual funds, at least those used by institutional investors. The rules would abolish the ... Read More
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SEC charges five traders for short selling violations

03/07/2014(0)
The Securities and Exchange Commission (SEC) has charged five traders for committing short selling violations while trading for themselves and Worldwide Capital Inc., a Long Island, N.Y.-based proprietary firm ... Read More
SEC-Insider-Trading

The Sterner, Stricter SEC

01/07/2014(0)
As Mary Jo White sees it, the Securities and Exchange Commission’s job is to patrol Wall Street and Main Street and catch financial fraudsters. Since becoming the agency’s chair ... Read More
banks

Taking Systemic Risk Seriously

30/06/2014(0)
There are two leading views about the world’s financial system. The first, heard mostly from executives at leading global banks and their allies, is that the system is safer ... Read More
Cyber-Experts

Hedge-Fund Hack Part of Bigger Siege: Cyber-Experts

23/06/2014(0)
The attack on a U.S. hedge fund’s network, which a cybersecurity contractor said last week disrupted the firm’s high-speed trading and stole its data, is but one among many. ... Read More
accountant

PCAOB Cracks Down on Fraud

12/06/2014(0)
A new PCAOB standard will require auditors to probe more deeply into related-party deals, unusual transactions and executive pay. Citing “decades of financial reporting frauds,” the Public Company Accounting ... Read More
euro stock

Slow Your Judgments on Fast Trading

11/06/2014(0)
In a recent pair of articles, hedge-fund magnate Cliff Asness defended high-frequency trading against most of the attacks that have been leveled against it. Asness is known for his ... Read More
wall-street-walks

Wall Street Fights for Our Right to Pay 5% Fund Fees

06/06/2014(0)
One of Wall Street’s chief lobbyists wants you to know that the financial industry has changed, a lot, since the financial crisis. The industry “has already fundamentally reshaped itself ... Read More
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