SEC News
SEC Charges Nine More People in Global Press Release Hacking Scheme
The U.S. Securities and Exchange Commission has charged nine new defendants over what it has called a more than $100 million international scheme to hack into newswires that distribute corporate ...
New SEC Rule: Companies Must Report CEO-to-Worker Pay Ratio
The U.S. Securities and Exchange Commission approved a rule Wednesday requiring companies to reveal the pay gap between the chief executive officer and their typical worker, handing a new weapon to ...
Insurers Targeted in Proposed New York Corporate Whistleblower Protection Law
Employees who report illegal activity in insurance, banking and financial services would be protected and compensated for their trouble under new legislation proposed by New York State Attorney ...
Cyber Criminals Routinely Strike U.S. Brokerages and Advisers: SEC
U.S. brokerage firms and financial advisers are a routine target of cyber criminals and some have lost money as a result of fraudulent emails requesting transfers of client funds, the U.S. Securities ...
SEC, CFTC Penalties More Than $92M Greater With Whistleblower Tipoffs
Promoting and maintaining financial fraud whistleblower programs, such as those of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), is costly. Cases ...
Whistleblower Tips Up in 2014: SEC
The U.S. Securities and Exchange Commission received more than 3,500 tips from whistleblowers in fiscal year 2014, the largest number received since the program went into effect three years ago. The ...
U.S. Regulator Issues Caution Over Bond Market ‘Bubble’
The U.S. bond market may be teetering on the brink of a "liquidity cliff" and appears to be an asset "bubble" that could burst once interest rates start to rise again, a top U.S. securities regulator ...
SEC Paying $30M-Plus to Whistleblower in Largest Award Yet
An anonymous tipster living abroad will be receiving more than $30 million, in the largest whistleblower award ever doled out by U.S. securities regulators as part of a program that aims to ...