SEC

The U.S. Securities and Exchange Commission is an independent agency of the United States federal government.

(source: en.wikipedia.org)

Investor Complaint Filed Vs. T-Mobile
Investor Complaint Filed Vs. T-Mobile
November 28, 2016  |  Regulation

T-Mobile has been targeted in an investor complaint, served last Wednesday (Nov. 23), tied to accounting and disclosure by the firm, Fortune reported. The investor, CtW...

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Federal Reserve Vice Chair Pick Looms Over Hill
Federal Reserve Vice Chair Pick Looms Over Hill
November 22, 2016  |  Bank Regulation

The parade of political appointees for the incoming Trump administration continues, and as noted in reference to the financial industry, one possible appointment looms large....

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White’s SEC Goodbye Sets Stage for Brave New Wall St. World
White’s SEC Goodbye Sets Stage for Brave New Wall St. World
November 16, 2016  |  Regulation

Wall Street and Washington, D.C., are transient towns, in a way. Heads of banks and regulatory agencies come and go, and staffers come and go....

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Post-Election, SEC Expected To Relax Post-Crisis Rules
Post-Election, SEC Expected To Relax Post-Crisis Rules
November 10, 2016  |  Regulation

Many things are likely to change in a Trump administration, among them the Securities and Exchange Commission. The Wall Street Journal reported that Donald Trump,...

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Wells Fargo Litigation Reserves Nearing $2B
Wells Fargo Litigation Reserves Nearing $2B
November 04, 2016  |  Banking

Wells Fargo disclosed Thursday (Nov. 3) it is raising the amount of money it set aside for legal fees due to the fake account scandal...

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SEC, SME Alt-Lenders At Odds Over Proposed Rule
SEC, SME Alt-Lenders At Odds Over Proposed Rule
October 27, 2016  |  B2B Payments

The Securities and Exchange Commission is considering new regulations that alternative lenders say would curb their ability to lend to small businesses. Reports by Bloomberg on Wednesday...

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Yahoo’s Breach Epitaph
Yahoo’s Breach Epitaph
October 03, 2016  |  Security & Fraud

Yahoo’s data breach seemed the last gasp for Yahoo. But the company’s legacy lives on. Because the breach in 2014 was so large and it...

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Two Former Bankrate Executives Can’t Get SEC Allegations Thrown Out
Two Former Bankrate Executives Can’t Get SEC Allegations Thrown Out
September 16, 2016  |  Security & Fraud

Two former executives at Bankrate were unsuccessful in convincing a federal judge to throw out U.S. Securities and Exchange Commission allegations that they manipulated the...

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Wells Fargo, AMD, Fifth Third May Have Run Afoul Of Whistleblower Laws
Wells Fargo, AMD, Fifth Third May Have Run Afoul Of Whistleblower Laws
August 26, 2016  |  Regulation

Wells Fargo, Advanced Micro Devices (AMD) and Fifth Third Bank have reportedly struck settlement agreements with former employees that may have run afoul of U.S. whistleblower protection laws....

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