SEC Activities
Rajaratnam's brother charged in Wall St insider case
Mar 21, 2013 16:31 EDT
US prosecutors unveiled insider trading charges Thursday against the brother of disgraced hedge fund manager Raj Rajaratnam in the latest chapter of a giant Wall Street fraud investigation.
SAC hedge funds fined $614 mn for insider trades
Mar 15, 2013 19:17 EDT
The SEC announced insider trading fines of more than $614 million Friday for affiliates of billionaire Steven A. Cohen's SAC Capital Advisers, dealing another blow to the embattled hedge fund titan.
SEC fines SAC unit $600 mn over insider trades
Mar 15, 2013 14:53 EDT
The SEC announced Friday it was fining a unit of the hedge fund SAC Capital Advisors more than $600 million over insider trades that netted hundreds of millions of dollars in illicit profits.
FBI examining possible Heinz insider trades
Feb 19, 2013 19:08 EST
The FBI is examining possible insider trading in Heinz shares ahead of last week's buyout announcement, after US regulators identified suspicious trades from a Swiss account, a spokeswoman said Tuesday.
SEC alleges Swiss insider trading on Heinz buyout
Feb 15, 2013 18:03 EST
US regulators Friday obtained an emergency court order to freeze a Swiss bank account they suspect was used for insider trading ahead the Berkshire Hathaway-3G Capital buyout of HJ Heinz.
Google chairman to sell $2.5 bn of shares
Feb 08, 2013 19:01 EST
Google's Chairman Eric Schmidt plans to sell 3.2 million "A" shares, currently worth $2.5 billion, over the next year, Google said Friday in a filing with the Securities and Exchange Commission.
Government probe finds doping widespread in Australian sport
Feb 06, 2013 19:12 EST
A year-long government investigation on Thursday concluded drug use is widespread in Australian sport with links to organised crime which may have led to match-fixing.
'Don't mess with Mary Jo': Obama on SEC pick
Jan 24, 2013 15:40 EST
President Barack Obama Thursday named high powered New York prosecutor and organized crime buster Mary Jo White to lead the Securities and Exchange Commission to implement his Wall Street reforms.
ICE, NYSE Euronext face fees if deal falls through
Dec 21, 2012 16:11 EST
InterContinentalExchange (ICE) would have to pay NYSE Euronext $750 million if their merger is blocked by regulatory or competition authorities, according to an SEC filing published Friday.
Netflix faces US penalty for CEO Facebook comments
Dec 06, 2012 18:52 EST
Online video giant Netflix said Thursday it faces a possible penalty from US regulators for comments made by its top executive on his Facebook account about subscriber activity.
Hedge fund shuts in wake of insider case
Dec 06, 2012 15:22 EST
US hedge fund Diamondback Capital Management, fined for insider trading this year, announced Thursday it was shutting down its funds after substantial investor withdrawals.
SEC charges top accounting firms over China data
Dec 03, 2012 15:51 EST
US market regulators charged the China affiliates of five top accounting firms Monday with violation of securities laws for refusing to provide audit data related to China-based companies.
US SEC chief Schapiro to step down
Nov 26, 2012 16:11 EST
US Securities and Exchange Commission chief Mary Schapiro announced Monday that she will step down, nearly four years after taking charge of the key markets regulator in the middle of the financial crisis.
SEC ties SAC hedge funds to $276 mn insider case
Nov 20, 2012 15:15 EST
US market regulators implicated star hedge fund group SAC Capital Tuesday in what they called a record insider trading case that earned beneficiaries $276 million from privileged knowledge of drug test results.
JPMorgan Chase to pay $297 mn for US misdeeds
Nov 19, 2012 06:52 EST
JPMorgan Chase said Monday it had agreed to pay $297 millions to the US Securities and Exchange Commission to settle a dispute over sale of mortgage-backed securities.
FedEx, UPS in probe targeting online drugs sales
Nov 16, 2012 00:15 EST
FedEx and United Parcel Service are being investigated by the Securities and Exchange Commission (SEC) in a probe of prescription medication sales by online pharmacies, the two US package delivery companies said.
Gazprom slams probe with EU, announces talks
Sep 10, 2012 16:20 EDT
Gazprom on Monday said a European Commission probe over the Russian giant's controversial gas pricing and trade policies was disingenuous and that the company would discuss the allegations with the EU.
US tells firms to report DR Congo minerals
Aug 23, 2012 10:07 EDT
US public companies will be required to disclose whether they use "conflict minerals" sourced from the Democratic Republic of Congo, under a new securities rule adopted.
US tells firms to report DR Congo minerals
Aug 22, 2012 20:32 EDT
US public companies will be required to disclose whether they use "conflict minerals" sourced from the Democratic Republic of Congo, under a new securities rule adopted.
NY Times boss Thompson eyes $8m payday
Aug 17, 2012 13:38 EDT
Incoming New York Times CEO Mark Thompson stands to make at least $8 million dollars by the end of 2013, financial filings with the Securities and Exchange Commission revealed Friday.
