A former JPMorgan Securities analyst was arrested and charged in an alleged insider trading scheme that netted more than $600,000.
The Securities and Exchange Commission cannot let stand the Nasdaq OMX Group's bungled handling of its late-August trading outage, former SEC Chairman Harvey Pitt told CNBC.
The Securities and Exchange Commission has approved a plan offered by the Nasdaq OMX to compensate investors for the botched 2012 Facebook initial public offering, sources told CNBC.
Mary Jo White, President Barack Obama’s nominee to lead the U.S. Securities and Exchange Commission, said she will avoid some matters involving firms including JPMorgan Chase, General Electric Co. and Deloitte & Touche if confirmed by the Senate.
The Securities and Exchange Commission has announced that Robert W. Cook, Director of the SEC’s Division of Trading and Markets, plans to leave the agency.
The Securities and Exchange Commission has announced that Andrew J. Bowden has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE).
Here's a selection of job loss and other news.
Here are a couple of good quotes on the subject of investment banking bonuses and the effectiveness of US regulator The Securities and Exchange Commission (SEC).
Washington, D.C. — The Securities and Exchange Commission has charged the co-founder of institutional money manager AXA Rosenberg with securities fraud for concealing a significant error in the computer code of the quantitative investment model that he developed and provided to the firm's entities for use in managing client assets.
Washington, D.C. – The Securities and Exchange Commission has announced that Kathleen Weiss Hanley has been named Deputy Director and Deputy Chief Economist for the SEC’s Division of Risk, Strategy, and Financial Innovation (RiskFin).