U.S. Securities and Exchange Commission

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The U.S. Securities and Exchange Commission (SEC) is a federal agency. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

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SEC charges former head traders at Nomura

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The Securities and Exchange Commission has charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. with deliberately lying to customers in order to inflate the profits of the CMBS desk and line their own pockets as a result.

Two ex-Barclays traders settle with SEC

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Two former Barclays traders agreed to settle U.S. Securities and Exchange Commission claims that they misrepresented prices of bonds they sold to customers, earning excessive mark-ups in the process.

SEC charges VP in risk management with insider trading

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The Securities and Exchange Commission has charged a vice president in the risk management department of a New York-based investment bank with insider trading on confidential information he learned in advance of a private equity firm’s acquisition of a publicly-traded technology company.

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SEC charges former head traders at Nomura

The Securities and Exchange Commission has charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. with deliberately lying to customers in order to inflate the profits of the CMBS desk and line their own pockets as a result.