SEC

Credit Suisse Group AG, one of the biggest operators of a "dark pool," reached a tentative agreement to pay around $85 million to New York and federal authorities to resolve allegations of wrongdoing in its private trading venue, according to a person familiar with the matter.

The wild market swoons that rattled Wall Street last month may create a new wave of controversy for the New York Stock Exchange. 

The Securities and Exchange Commission is investigating whether Diageo PLC has been shipping excess inventory to distributors in an effort to boost the liquor company's results, according to people familiar with the inquiry.

The SEC is reviewing the cause of the NYSE's trading snafu and how decisions were made in handling the shutdown. 

The top U.S. securities regulator on Thursday accused a Bulgarian man of being an architect behind hoaxes that fraudulently drove up share prices of Avon Products Inc and two other companies through bogus takeover bids.

U.S. regulators took aim at financier Lynn Tilton and her advisory business on Monday, saying she breached her fiduciary duty to investors by hiding the poor performance of loans underlying three collateralized loan obligations.

A business unit of Citigroup will pay $5 million to settle civil charges that one of its private trading venues violated federal law by not protecting clients' confidential trading data.

The SEC will widen its focus on market reforms aimed at leveling playing fields for all participants, now targeting bond markets.

The controversial practice of high-frequency trading could face far greater scrutiny from the Securities and Exchange Commission under an array of proposals.

The controversial practice of high-frequency trading could face far greater scrutiny from the Securities and Exchange Commission under an array of proposals.

The SEC recently contacted public funds with exposure to Russian markets to confirm they are weighing risks and properly disclosing their investments. U.S. May Sanction Russian Economy | Russia to Hit Back at 'Every Hostile Thrust'

Employees of the Securities and Exchange Commission have a penchant for selling stocks ahead of enforcement actions made by the regulator, according to a recent university study.

Third Avenue Management LLC has reached an agreement with the Securities and Exchange Commission to provide investors with updated values on its Third Avenue Focused Credit Fund, as the firm unwinds the troubled fund over the next year or so.

Bond giant Pacific Investment Management Co. disclosed that it received a Wells Notice from the staff of the U.S. Securities and Exchange Commission concerning a popular exchange-traded fund, the Pimco Total Return ETF.

25 years later the Securities & Exchange Commission is still chasing Michael Milken.   

The U.S. Securities and Exchange Commission is investigating allegations that Andrew Liveris, chairman and chief executive officer of industrial giant Dow Chemical, misused company funds for personal benefit, according to people familiar with the matter.

SEC Chair Mary Jo White unveiled a sweeping new program for reducing “undue” risk in the $63 trillion asset management business.

The SEC unanimously approved new rules intended to protect big exchanges and investors from technological glitches that can throw markets into disarray.

Barclays Capital Inc., a unit of Barclays PLC, has agreed to pay a $15 million fine for failing to beef up its compliance system after acquiring Lehman Brothers advisory business in 2008.

An appeals court has thrown out a controversial 2011 ruling by a judge who refused to approve a $285 billion fraud settlement between Citigroup and the Securities and Exchange Commission.