Entries tagged "SEC"

Report: SEC starts to dig in 3Com options scheme

The SEC is examining 3Com option trading as a suspicious rise in trades occurred in the run up ahead of Hewlett-Packard's acquisition offer.

Fourteen more nabbed for conspiracy, fraud

Thursday, 14 people were charged with conspiracy and fraud. It has not been confirmed that the recent sweep is related to the insider trading case involving Galleon Group.

Companies outraged about proxy proposal

A new SEC rule that would give shareholders greater access to vote has incited a chorus of opposition from small business owners to big time CEOs.

SEC to shine light on dark pools

The Securities and Exchange Commission took the first step Wednesday and voted unanimously to make the dark pools - where trades are done "off exchanges" or privately and not identified to the general public - more transparent.

Hedge fund giant charged with insider trading

The perp walk is back! One of the richest men in the U.S. -- Galleon Group founder Raj Rajaratnam -- was arrested Friday.

Truth, lies and the regulators

In the roll call of Sisyphean tasks, none must be greater than the attempt by regulators to sanitize the monumental flows of information that cascade through the markets every day.

Regulators want tougher derivatives regulation

Regulators want to tighten up legislation to rein in derivatives trading.

SEC appeals Mark Cuban ruling

The Securities and Exchange Commission is not giving up on its insider trading case against Mark Cuban, dot-com billionaire and owner of the Dallas Mavericks basketball team.

58 steps to a better SEC

The SEC's internal cop issues two new reports detailing what the agency needs to do to avoid another Madoff debacle.

SEC nabs insider trader in Dell-Perot deal

The SEC nabs a Perot Systems employee who reaped $8.6 million in profits trading on inside information about the Dell acquisition.

Roll Call: The SEC gets neutered again

Here are some must-reads to kick off your Wednesday.

Regulation by the Rakoff rules

Judge Jed Rakoff's blistering opinion on the Bank of America settlement with the SEC over the Merrill Lynch bonuses offers considerable food for thought on reality and illusion in regulation.

Top tags

• M&A (1067)
• bankruptcy (543)
• private equity (519)
• politics (396)
• credit crisis (361)
• banks (353)
• Bank of America (349)
• banking (333)
• Citigroup (318)
• layoffs (312)