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The Wall Street Journal: Nasdaq, NYSE sue SEC over plan to overhaul data feeds

Nasdaq Inc. and the New York Stock Exchange sued the Securities and Exchange Commission to block the regulator’s plan to overhaul the public data feeds that broadcast stock prices to investors......»»

Category: topSource: marketwatchFeb 10th, 2021

The Wall Street Journal: NYSE seeks SEC approval for plan to let companies raise capital through direct listings

The New York Stock Exchange has submitted a proposal with the U.S. Securities and Exchange Commission that would allow companies going public through a direct listing to raise capital......»»

Category: topSource: marketwatchNov 27th, 2019

SEC probes AIG unit that sells retirement plans to teachers: WSJ

The U.S. Securities and Exchange Commission is probing sales and disclosure practices at Valic, a unit of U.S. insurer American International Group Inc , the Wall Street Journal reported on Tuesday, citing sources familiar with the matter......»»

Category: topSource: reutersOct 29th, 2019

SEC says may give firms more time to comply with Europe"s research rules

The U.S. Securities and Exchange Commission (SEC) could extend a 30-month grace period granted to Wall Street firms to comply with European Union investment rules to unbundle research and other services, commissioner Hester Peirce said on Wednesday......»»

Category: topSource: reutersAug 7th, 2019

The Wall Street Journal: Facebook set to pay fine of more than $100 million to settle SEC investigation

The Securities and Exchange Commission is expected to announce a settlement with Facebook Inc. on Wednesday related to claims it inadequately disclosed risks involving its privacy practices, a person familiar with the matter said......»»

Category: topSource: marketwatchJul 23rd, 2019

The Wall Street Journal: Peloton confidentially files for IPO, but details are scant

Peloton Interactive Inc. on Wednesday said it has filed confidentially with the Securities and Exchange Commission for a proposed initial public offering......»»

Category: topSource: marketwatchJun 5th, 2019

The Wall Street Journal: Elon Musk, SEC again ask judge for another week to resolve contempt dispute

Elon Musk and the Securities and Exchange Commission want more time to work out their dispute over whether the Tesla Inc. chief executive violated a court order restricting his use of social media......»»

Category: topSource: marketwatchApr 25th, 2019

Jay-Z Subpoenaed After Refusing to Cooperate With SEC Investigation of $200 Million Deal

Jay-Z is in hot water with Wall Street’s top regulator Jay-Z is in hot water with Wall Street’s top regulator. The hip-hop mogul is the target of a Securities and Exchange Commission enforcem.....»»

Category: topSource: timeMay 3rd, 2018

Jay-Z draws subpoena for refusing to cooperate in SEC probe

Jay-Z is in hot water with Wall Street's top regulator. The hip-hop mogul, whose given name is Shawn Carter, is the target of a Securities and Exchange Commission enforcement subpoena after failing... To view the full story, click the title link......»»

Category: blogSource: crainsnewyorkMay 3rd, 2018

Jay-Z lawyer: Securities and Investigation Commission demands may be a 'celebrity hunt'

Jay-Z should provide open-ended testimony for the Securities and Exchange Commission's investigation of Iconix Brand Group, the Wall Street regulator.....»»

Category: topSource: usatodayMay 7th, 2018

Jay-Z lawyer: Securities and Investigation Commission subpoena may be a 'celebrity hunt'

Jay-Z should provide open-ended testimony for the Securities and Exchange Commission's investigation of Iconix Brand Group, the Wall Street regulator.....»»

Category: topSource: usatodayMay 7th, 2018

Jay-Z ordered to answer Securities and Exchange Commission questions in financial inquiry

A federal judge ruled that the Securities and Exchange Commission has a legal right to question Jay-Z for the Wall Street regulators investigation of Iconix Brand Gro.....»»

Category: topSource: usatodayMay 8th, 2018

The Wall Street Journal: Nasdaq, Cboe rip SEC plan to limit trading rebates

Two of the biggest U.S. stock-exchange operators have accused the Securities and Exchange Commission of exceeding its legal authority with a proposal to limit the rebates they pay traders to attract stock orders......»»

Category: topSource: marketwatchMay 29th, 2018

The Wall Street Journal: SEC charges former CEO of Heartland Payment with insider trading

The Securities and Exchange Commission charg.....»»

Category: topSource: marketwatchJul 10th, 2018

SEC reportedly probing whether Musk tried to hurt short-sellers

The Securities and Exchange Commission is reportedly investigating whether Tesla CEO Elon Musk was attempting to hurt the company's short-sellers when he tweeted about taking the company private, The Wall Street Journal reports......»»

Category: topSource: moneycentralAug 16th, 2018

SEC reportedly probing whether Musk tried to hurt short-sellers

The Securities and Exchange Commission is reportedly investigating whether Tesla CEO Elon Musk was attempting to hurt the company's short-sellers when he tweeted about taking the company private, The Wall Street Journal reports......»»

Category: topSource: moneycentralAug 16th, 2018

Trump"s newest plan to reshape Wall Street may sound familiar — because Hillary Clinton had the same idea

REUTERS/Mike Blake President Donald Trump asked the Securities and Exchange Commission to study changing from quarterly earnings reports to biannual reports, the president said in a tweet Friday. .....»»

Category: topSource: businessinsiderAug 17th, 2018

The Wall Street Journal: SEC sues Woodbridge Group outside sales agents over alleged Ponzi scheme

Five top sellers of Woodbridge Group of Cos. securities were sued by the U.S. Securities and Exchange Commission on Monday, accused of making unlawful profits from an alleged Ponzi scheme......»»

Category: topSource: marketwatchAug 20th, 2018

The Wall Street Journal: Merrill Lynch settles SEC conflict-of-interest charges for $8.9 million

Merrill Lynch will pay $8.9 million to settle charges it failed to disclose a conflict of interest, the Securities and Exchange Commission said Monday......»»

Category: topSource: marketwatchAug 20th, 2018

The Wall Street Journal: SEC again shoots down bitcoin-based ETF applications

The Securities and Exchange Commission rejected applications for nine separate bitcoin-based exchange-traded funds on Wednesday, once again thwarting an attempt to build an ETF product based upon the volatile cryptocurrency......»»

Category: topSource: marketwatchAug 22nd, 2018