SEC

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SEC cracking down on private Facebook stock trading

Mar 15, 2012
Yesterday, the SEC brought charges against two money managers who allegedly misled and overcharged investors when selling them Facebook stock, before it officially goes public.
Posted In: Facebook, stock market, SEC

A cautionary tale on money market mutual funds

Mar 12, 2012
You can't trust the money market mutual fund pledge not to break a buck -- at least not with your safe money, the money you depend on to be there in tough times like 2008.
Posted In: money market mutual funds, money-funds, safe money, SEC, Federal Reserve, U.S. Treasury

New SEC settlement tests regulator's mettle

Feb 14, 2012
SEC settles fraud case with former Bear Stearns hedge fund managers. Despite public pressure, the SEC fails to wrest admissions of guilt.
Posted In: Bear Stearns, SEC, Securities and Exchange Commission

Money market mutual funds: Buyer beware

Feb 7, 2012
When it comes to money market mutual funds, you can't trust the pledge not to break a buck -- at least not with your safe money, the money that's supposed to be there in tough times like 2008.
Posted In: money market mutual funds, Mutual funds, SEC

SEC received over 650,000 filings in 2011

Jan 10, 2012
Up 4 percent from 2010. More filings mean more information is disclosed by companies. But is it necessarily a better thing?
Posted In: SEC

SEC files complaint against former Freddie, Fannie CEOs

Dec 16, 2011
Federal regulators at the Securities and Exchange Commission just this morning charged several former executives at mortgage giants Fannie Mae and Freddie Mac with civil fraud
Posted In: Freddie Mac, Fannie Mae, SEC

Judge strikes down SEC deal with Citigroup

Nov 28, 2011
A district judge said the SEC's proposed $285 million settlement with Citigroup over the sale of toxic mortgage debt was not in the public interest.
Posted In: SEC, Citigroup, Law

SEC rules (not a declarative statement)

Oct 14, 2011
Yesterday, the Securities and Exchange Commission issued guidelines for how companies should disclose cyber attacks. Sen. John D. Rockefeller (D -...
Posted In: SEC, Tech Report

Walkie-talkie payola?

Sep 27, 2011
The Justice Department and Securities Exchange Commission are looking into Motorola Solutions to see whether it offered bribes to foreign...
Posted In: doj, Google, motorola, SEC, Tech Report

Wall Street watchdogs face budget cuts in Congress

Mar 10, 2011
At a time of dramatically increased responsibilities for two key financial regulatory bodies, there are strong calls to cut back on funding for the...
Posted In: dodd-frank, economy 4.0, SEC

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