SEC

The SEC and Sigtar are reportedly examining whether banks like Barclays and Goldman Sachs misled investors by deliberately mispricing mortgage bonds after the crisis.

A Microsoft senior portfolio manager was charged with insider trading for funneling information to a friend and business partner ahead of public announcements by the software giant.

Avon warned that negotiations with the government over a bribery probe could lead to a massive settlement that would materially impact the business. 

The largest U.S. bank, JP Morgan Chase, reportedly offered to pay $3 billion to settle a wide range of ongoing probes by the government.

JP Morgan reportedly had a hiring program that fostered questionable employment practices in China.

The U.S. investigation into allegations Microsoft partners bribed foreign officials for contracts reportedly includes activity in Russia and Pakistan.

Criminal charges against SAC Capital could come as early as this week -- days after the U.S. unveiled a civil case against the hedge fund's founder, billionaire Steven Cohen.

SAC Capital is under intense scrutiny from the government over alleged insider-trading violations, but at least one Wall Street firm with a track record of getting things right appears to be betting that the big hedge fund will ultimately survive.

A federal judge and a federal prosecutor share something in common not shared by the Securities and Exchange Commission. Both the judge and the prosecutor want to hear more from SAC Capital founder Steven A. Cohen.

The Securities and Exchange Commission has seen a drastic increase in the number of tips that the government agency received in 2015. 

Described by supporters as an effort to 'democratize' the investment landscape by allowing ‘mom and pop’ investors far greater access to the next potential Google.

The Securities and Exchange Commission said Tuesday that three former Bankrate executives were charged in the case that “involves fraudulent manipulation of the company’s financial results to meet analyst expectations.”

Regulators are set to approve a contentious new rule requiring companies to disclose the pay gap between rank-and-file employees and the chief executive, marking the culmination of years of debate and pressure on the Securities and Exchange Commission over a mandate from the 2010 Dodd-Frank law.

The Securities and Exchange Commission on Wednesday took the first in a series of steps aimed at giving regulators a better handle on risk in the $60 trillion asset-management industry.

The SEC adopted new rules targeting conflicts of interest at credit ratings firms, a problem the regulatory agency said contributed significantly to the 2008 financial crisis.

A jailed con man has been charged for the second time this month with luring investors into a phony venture via made-up press releases -- this time a non-existent solar energy company.

HSBC said on Monday it was being investigated by the Securities and Exchange Commission in relation to hiring practices of candidates with ties to government officials in Asia.

The Securities and Exchange Commission on Tuesday charged two Connecticut-based Bitcoin mining companies and their founder with running a Ponzi scheme that defrauds investors.  

The regulatory agency filed 807 actions 'covering a wide range of misconduct' and collected about $4.2 billion in fines.

A Ukrainian trading firm has agreed to pay $30 million to settle charges it reaped illegal profits by using hacked information stolen from newswires to trade ahead of corporate moves.