GuggenheimPartnersonSundaysaiditwas“cooperatingfully”withaninvestigationofitsassetmanagementsubsidiarythatisbeingconductedbytheU.S.SecuritiesandExchangeCommissi
TheUSSecuritiesandExchangeCommissiononWednesdayupdatedguidancetopubliccompaniesonhowandwhentheyshoulddisclosecybersecurityrisksandbreaches,includingpotentialwea
BothchairmanoftheSecuritiesandExchangeCommission(SEC)andchairmanChristopherGiancarlooftheCommodityFuturesTradingCommission(CFTC)willwarnCongresstomorrowabouthow
Wall Street lawyer Jay Clayton, who has worked on high-profile initial public offerings such as Alibaba Group, is a leading candidate to head the US Securities and Exchange Commission (SEC) in the Trump administration, two sources familiar with the matter said on Tuesday (Jan 3).
Deutsche Bank will pay a $9.5 million penalty to settle civil charges that it failed to properly safeguard material non-public information generated by its research analysts and of publishing an improper research report, U.S. regulators said Wednesday.
Democratic Senator Mark Warner on Monday asked the U.S. Securities and Exchange Commission to investigate whether Yahoo (YHOO.O) and its senior executives fulfilled obligations to inform investors and the public about a hacking attack affecting 500 million user accounts.
Alibaba is actively assisting an investigation launched by the U.S. Securities and Exchange Commission (SEC) and has provided all the requested information, according to Alibaba's chairman Jack Ma.
The U.S. Securities and Exchange Commission (SEC) said on Monday that two stock exchanges formerly owned by Direct Edge Holdings have agreed to pay a 14- million-U.S.-dollar penalty to settle charges that their rules failed to accurately describe their order types.
The U.S. Securities and Exchange Commission (SEC) on Wednesday issued an alert to warn investors about the potential risks of investments involving bitcoin and other forms of virtual currency.
The U.S. Securities and Exchange Commission (SEC) on Thursday charged two former executives of China-based ChinaCast Education Corporation with fraud and insider trading.
The U.S. Securities and Exchange Commission (SEC) announced on Monday that it suspended trading in the securities of 61 so-called empty shell companies, the second- largest trading suspension in the agency's history.
The U.S. Securities and Exchange Commission (SEC) on Wednesday charged France-based oil and gas company Total S.A. for violating the Foreign Corrupt Practices Act (FCPA).
A deal between Chinese and U.S. regulators has been hailed as a key step toward opening the way to probes of bungled audits of U.S.-listed Chinese companies, but experts say questions remain.
The U.S. Securities and Exchange Commission (SEC) said on Tuesday that companies can use social media outlets such as Facebook and Twitter to announce key information as long as investors have been altered about which social media will be used to disseminate such information.
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