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  • JPMorgan in SEC subprime probe

    Colin Barr 2010-11-05 01:48

    ProPublica says it may. The investigative journalism outfit reports JPMorgan (JPM) has come under regulatory scrutiny over its handling of conflicts o...

  • SEC处以高盛巨额罚款

    Colin Barr 2010-07-21 02:44

    美国证券交易委员会(Securities and Exchange Commission,SEC)日前宣布,高盛公司(Goldman Sachs)将缴纳3亿美元的罚金。另外,由于其在2007年次贷交易中的不当行为,高盛还需向受到影响的投资者赔偿2.5亿美元。SEC表示,这是迄今为止华尔街公司收到的最...

  • SEC slaps Goldman with huge fine

    Colin Barr 2010-07-21 01:05

    Goldman (GS) will pay $300 million in fines and $250 million in restitution to investors harmed by its misconduct in the 2007 subprime debt deal, the ...

  • SEC hasn't forgotten Citi

    Colin Barr 2010-05-12 07:42

    Goldman (GS), you may have heard, was sued last month by the Securities and Exchange Commission. The SEC, led by Mary Schapiro (right), claims Goldman...

  • SEC宣布彻查高频交易

    Stephen Gandel 2014-06-11 12:00

    美国证券交易委员会主席玛丽•乔•怀特上周四,在华尔街投资会议上,美国证券交易委员会(SEC)主席玛丽•乔•怀特宣布将展开一系列调查,改变相关潜规则,同时采取监控措施,目的是为了重点打击高频交易(HFT)。这项调查的清单十分冗长。怀特说,SEC将调查高频交易公司是否获得交易所的允许,借助比其他交易商更...

  • No, the SEC investigation will not prompt a Facebook IPO

    Dan Primack 2011-01-05 06:13

    Facebook wants to go public... someday. In fact, it's wanted to go public someday for quite a number of days.Now there is speculation that the SEC inv...

  • SEC chief names four targets for scrutiny

    财富中文网 2009-06-23 12:49

    So-called dark pools are among the investing categories that Mary Schapiro plans to look at very carefully.By Alyssa Abkowitz and Scott CendrowskiWher...

  • 马斯克:SEC在骚扰我和特斯拉

    精选 2022-02-19 03:00

    2月17日周四美股市场再爆一瓜:马斯克又和美国证券交易委员会(SEC)杠上了!这场嘴仗实际上从2019年打到现在,双方在往来信函和法庭文件中相互指责。SEC认为马斯克没有遵守推文交由公司律师审批再发布的2018年民事证券诉讼和解协议,特斯拉公司律师则认为“SEC正在骚扰马斯克和特斯拉,怀着不正当目的...

  • Update: SEC drops Moody's fraud case

    Colin Barr 2010-09-03 11:20

    The Securities and Exchange Commission let Moody's off the hook for failing to heed its own rating guidelines.The SEC blamed "uncertainty" tied to the...

  • 金融危机犯罪SEC胜诉比率仅1/4

    Stephen Gandel 2013-08-07 01:30

    目前只有这一宗。上周四,在金融危机近五年后,美国证券交易委员会(Securities and Exchange Commission)终于证明,它有能力让一位曾任中层交易员的30多岁研究生为金融危机的罪责承担责任。司法正义终于得到伸张!但陪审团裁定前高盛(Goldman Sachs)交易员法布雷斯•...

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