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SentenceSentimentTitleUrlDate
A unit of Morgan Stanley agreed to pay a million fine to settle U.S. Securities and Exchange Commission charges it misled retail investing clients about the costs of a wrap program the regulator said on Tuesday NegativeA unit of Morgan Stanley agreed to pay a million fine to settle U.S. Securities and Exchange Commission charges it misled retail investing clients about the costs of a wrap program the regulator said on Tuesday http://www.reuters.com/subjects/banks/article/us-morgan-stanley-sec-settlement/morgan-stanley-pays-5-million-fine-to-settle-sec-charges-it-misled-investing-clients-idUSKBN22O1W02020-05-13
WASHINGTON The U.S. Securities and Exchange Commission has handled a surge in tips complaints and referrals and opened hundreds of new probes since midMarch despite being forced to work remotely due to the coronavirus outbreak an official said on Tuesday NegativeWASHINGTON The U.S. Securities and Exchange Commission has handled a surge in tips complaints and referrals and opened hundreds of new probes since midMarch despite being forced to work remotely due to the coronavirus outbreak an official said on Tuesday http://www.reuters.com/legal/article/us-usa-sec-enforcement/tips-to-u-s-securities-and-exchange-commission-surge-in-recent-weeks-official-idUSKBN22O3292020-05-13
WASHINGTON The U.S. Securities and Exchange Commission on Monday said it would provide relief to smaller firms seeking to raise capital via online platforms to meet urgent funding due to the coronavirusrelated disruption PositiveWASHINGTON The U.S. Securities and Exchange Commission on Monday said it would provide relief to smaller firms seeking to raise capital via online platforms to meet urgent funding due to the coronavirusrelated disruption http://www.reuters.com/finance/article/us-health-coronavirus-sec-crowdfunding/u-s-sec-eases-crowdfunding-rules-for-firms-due-to-coronavirus-disruption-idUSKBN22G2PG2020-05-05
LONDON The U.S. Securities and Exchange Commission has dropped its inquiry into Royal Dutch Shells 2011 acquisition of an offshore oil block in Nigeria the AngloDutch company said on Thursday NegativeLONDON The U.S. Securities and Exchange Commission has dropped its inquiry into Royal Dutch Shells 2011 acquisition of an offshore oil block in Nigeria the AngloDutch company said on Thursday http://www.reuters.com/places/africa/article/us-shell-inquiry-opl245/sec-drops-inquiry-into-shells-opl-245-deal-company-says-idUSKCN2252V92020-04-24
A month later he agreed to pay a million civil fine to settle fraud charges by the U.S. Securities and Exchange Commission NeutralA federal judge said Tesla Inc and Chief Executive Elon Musk must face a lawsuit claiming they misled shareholders when Musk tweeted that he had secured funding to take his electric car company private in a billion transaction http://www.reuters.com/legal/article/us-tesla-musk-lawsuit/tesla-musk-must-face-shareholder-lawsuit-over-going-private-tweet-idUSKCN21X33A2020-04-16
Here is some of the latest news on general counsel and chief legal officer compensation based on recent public announcements and filings with the U.S. Securities and Exchange Commission PositiveHere is some of the latest news on general counsel and chief legal officer compensation based on recent public announcements and filings with the U.S. Securities and Exchange Commission http://www.reuters.com/legal//www.reuters.com/article/lawyer-compensation-in-house/gc-pay-roundup-comp-cuts-in-2020-and-millions-made-in-2019-idUSL2N2BX0HM2020-04-10
WASHINGTON The head of the examination office at the U.S. Securities and Exchange Commission on Tuesday published details about the expected scope and content for compliance with a new rule requiring brokerdealers and investment advisers to disclose potential conflicts of interest NegativeWASHINGTON The head of the examination office at the U.S. Securities and Exchange Commission on Tuesday published details about the expected scope and content for compliance with a new rule requiring brokerdealers and investment advisers to disclose potential conflicts of interest http://www.reuters.com/legal/article/us-health-coronavirus-sec-brokers/u-s-sec-issues-compliance-focus-areas-for-brokers-before-new-rules-take-effect-idUSKBN21P34S2020-04-08
WASHINGTON The U.S. Securities and Exchange Commissions lone Democratic commissioner on Friday called for a delay in pending rule changes due to the coronavirus outbreak while cautioning against excessive regulatory relief in the rush to assist companies struggling with fallout from the pandemic NegativeWASHINGTON The U.S. Securities and Exchange Commissions lone Democratic commissioner on Friday called for a delay in pending rule changes due to the coronavirus outbreak while cautioning against excessive regulatory relief in the rush to assist companies struggling with fallout from the pandemic http://www.reuters.com/legal/article/us-health-coronavirus-sec-lee/u-s-sec-official-urges-delay-in-public-comment-on-agency-rule-changes-idUSKBN21L3D12020-04-04
NEW YORK The U.S. Securities and Exchange Commission said it needs more time to decide whether to allow a plan by the New York Stock Exchange to offer a new highspeed wireless connection to the exchange that some brokers have blasted as anticompetitive PositiveNEW YORK The U.S. Securities and Exchange Commission said it needs more time to decide whether to allow a plan by the New York Stock Exchange to offer a new highspeed wireless connection to the exchange that some brokers have blasted as anticompetitive http://www.reuters.com/news/technology/article/us-sec-nyse/u-s-sec-delays-ruling-on-controversial-nyse-high-speed-data-plan-idUSKBN21K3BB2020-04-03
WASHINGTON The head of the U.S. Securities and Exchange Commission said on Monday that it should not ban shortselling of shares amid speculation on further measures the agency might take to arrest a market rout that stems from fears the coronavirus will spark a global recession NegativeWASHINGTON The head of the U.S. Securities and Exchange Commission said on Monday that it should not ban shortselling of shares amid speculation on further measures the agency might take to arrest a market rout that stems from fears the coronavirus will spark a global recession http://www.reuters.com/legal/article/us-health-coronavirus-sec-shortselling/u-s-markets-watchdog-clayton-says-sec-should-not-ban-short-selling-of-shares-idUSKBN21H33W2020-03-31
WASHINGTON The U.S. Securities and Exchange Commission said on Wednesday it would extend its prior conditional regulatory relief from disclosure requirements for public companies affected by the coronavirus outbreak NeutralWASHINGTON The U.S. Securities and Exchange Commission said on Wednesday it would extend its prior conditional regulatory relief from disclosure requirements for public companies affected by the coronavirus outbreak http://www.reuters.com/legal/article/us-health-coronavirus-usa-sec/u-s-sec-extends-conditional-relief-for-public-companies-hit-by-coronavirus-idUSKBN21C2242020-03-26
Goldman which disclosed the moves on Friday in a filing with the U.S. Securities and Exchange Commission did not have an immediate comment NeutralIts support came as markets had another violently volatile week over concerns about the coronavirus pandemic and represents an extraordinary move in the staid moneymarket fund industry http://www.reuters.com/finance/article/us-health-coronavirus-goldman-mny-mkt-ex/exclusive-goldman-injects-1-billion-into-own-money-market-funds-after-heavy-withdrawals-idUSKBN21810A2020-03-22
WASHINGTON The U.S. Securities and Exchange Commission has had two suspected coronavirus cases among staff at its Washington headquarters an official said in a court document requesting leniency on delivering physical copies of filings to a judge NegativeWASHINGTON The U.S. Securities and Exchange Commission has had two suspected coronavirus cases among staff at its Washington headquarters an official said in a court document requesting leniency on delivering physical copies of filings to a judge http://www.reuters.com/news/ushttps://www.reuters.com/article/us-health-coronavirus-usa-sec/at-least-two-suspected-coronavirus-cases-among-secs-washington-staff-filing-idUSKBN2133OI2020-03-17
HELSINKI Nokia is continuing its own investigation and cooperating with the authorities over compliance issues at its AlcatelLucent business the Finnish firm said in its annual report to the U.S. Securities and Exchange Commission NegativeHELSINKI Nokia is continuing its own investigation and cooperating with the authorities over compliance issues at its AlcatelLucent business the Finnish firm said in its annual report to the U.S. Securities and Exchange Commission http://www.reuters.com/news/technology/article/us-nokia-report-alcatel/nokia-says-alcatel-compliance-review-ongoing-risks-limited-idUSKBN20T01K2020-03-06
WASHINGTON Companies affected by the coronavirus outbreak can apply for more time to file financial disclosures normally due between March 1 and April 30 the U.S. Securities and Exchange Commission said on Wednesday NegativeWASHINGTON Companies affected by the coronavirus outbreak can apply for more time to file financial disclosures normally due between March 1 and April 30 the U.S. Securities and Exchange Commission said on Wednesday http://www.reuters.com/legal/article/us-health-coronavirus-sec/sec-provides-conditional-disclosure-relief-for-firms-hit-by-coronavirus-idUSKBN20R2XK2020-03-05
WASHINGTON The U.S. Securities and Exchange Commission said on Thursday it ordered Wells Fargo Co to pay million to settle charges it failed to adequately supervise investment advisers who were recommending highrisk products NegativeWASHINGTON The U.S. Securities and Exchange Commission said on Thursday it ordered Wells Fargo Co to pay million to settle charges it failed to adequately supervise investment advisers who were recommending highrisk products http://www.reuters.com/finance/article/us-wells-fargo-sec/sec-orders-wells-fargo-pay-35-million-for-recommendations-of-high-risk-products-idUSKCN20L35B2020-02-28
Diageo Plc agreed to pay a million civil fine to settle U.S. Securities and Exchange Commission charges that the global liquor company quietly pressured distributors to buy excess inventory to boost its results in a flagging market NegativeDiageo Plc agreed to pay a million civil fine to settle U.S. Securities and Exchange Commission charges that the global liquor company quietly pressured distributors to buy excess inventory to boost its results in a flagging market http://www.reuters.com/legal/article/us-diageo-sec/diageo-to-pay-5-million-to-settle-sec-charges-it-concealed-liquor-overshipments-idUSKBN20D27Z2020-02-20
NEW YORK The New York Stock Exchange has told the U.S. Securities and Exchange Commission it does not believe it legally needs to make public the fees for a new highspeed connection to the exchange questioning the scope of the regulators authority NegativeNEW YORK The New York Stock Exchange has told the U.S. Securities and Exchange Commission it does not believe it legally needs to make public the fees for a new highspeed connection to the exchange questioning the scope of the regulators authority http://www.reuters.com/legal/article/us-ice-nyse-sec/nyse-argues-some-exchange-related-fees-fall-outside-secs-domain-idUSKBN2062SQ2020-02-13
Raytheon has received a subpoena from the U.S. Securities and Exchange Commission related to an investigation into the possibility of improper payments made for contracts in certain Middle East countries since 2014 the U.S. weapons maker disclosed in a filing NegativeRaytheon has received a subpoena from the U.S. Securities and Exchange Commission related to an investigation into the possibility of improper payments made for contracts in certain Middle East countries since 2014 the U.S. weapons maker disclosed in a filing http://www.reuters.com/subjects/middle-easthttps://www.reuters.com/article/us-raytheon-probe/raytheon-discloses-sec-subpoena-related-to-payments-by-thales-jv-in-middle-east-idUSKBN2063402020-02-13
It is under a U.S. Securities and Exchange Commission probe related to the suspect payments according to statements and testimony at the trial NegativeNEW YORK The governments star witness in Michael Avenattis extortion trial conceded on Friday he wanted to expose Nike Incs alleged illegal payments to families of college basketball recruits long before he hired the celebrity lawyer http://www.reuters.com/legal/article/us-usa-crime-avenatti/coach-who-hired-michael-avenatti-says-he-wanted-to-expose-nike-not-in-press-conference-idUSKBN2012F42020-02-08
Nike is under a U.S. Securities and Exchange Commission probe related to the suspect payments according to statements and testimony at the trial now in its eighth day NegativeNEW YORK Feb 7 The governments star witness in Michael Avenattis extortion trial conceded on Friday he wanted to expose Nike Incs alleged illegal payments to college basketball recruits long before he hired the celebrity lawyer http://www.reuters.com/news/mediahttps://www.reuters.com/article/usa-crime-avenatti/coach-who-hired-michael-avenatti-tells-u-s-jury-he-wanted-to-expose-nike-idUSL1N2A70K62020-02-08
Workplace app Asana Inc said on Monday it had confidentially filed paperwork with the U.S. Securities and Exchange Commission to go public indicating it would opt for a direct listing instead of a traditional initial public offering PositiveWorkplace app Asana Inc said on Monday it had confidentially filed paperwork with the U.S. Securities and Exchange Commission to go public indicating it would opt for a direct listing instead of a traditional initial public offering http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-asana-inc-listing/workplace-app-asana-files-to-go-public-may-opt-for-direct-listing-idUSKBN1ZX2UD2020-02-04
Danske is currently being investigated by the U.S. Securities Exchange Commission and the U.S. Department of Justice NegativeEveryone is talking about this big U.S. fine http://www.reuters.com/subjects/banks/article/us-danske-bank-moneylaundering/u-s-could-face-difficulties-sanctioning-danske-over-money-laundering-report-idUSKBN1ZU0ZN2020-02-01
WASHINGTON A top official at the U.S. Securities and Exchange Commission on Thursday defended an agency shareholder voting proposal amid received from the SECs public consultation process over new limits to vote on thorny issues like climate change disclosure and executive pay NegativeWASHINGTON A top official at the U.S. Securities and Exchange Commission on Thursday defended an agency shareholder voting proposal amid received from the SECs public consultation process over new limits to vote on thorny issues like climate change disclosure and executive pay http://www.reuters.com/finance/article/us-usa-sec-roisman-proxy/u-s-sec-commissioner-defends-proposal-on-shareholder-voting-rules-idUSKBN1ZU00Z2020-01-31
A lawyer for Michael Avenatti told a jury that Nike Inc was being probed by the U.S. Securities and Exchange Commission over claims that it made illicit payments to elite youth basketball players Bloomberg reported on Wednesday NegativeA lawyer for Michael Avenatti told a jury that Nike Inc was being probed by the U.S. Securities and Exchange Commission over claims that it made illicit payments to elite youth basketball players Bloomberg reported on Wednesday http://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-crime-avenatti-nike/nike-faces-sec-probe-over-illicit-payment-claim-bloomberg-idUSKBN1ZT0C02020-01-30
WASHINGTON Rob Jackson a Democratic commissioner at the U.S. Securities and Exchange Commission said on Thursday he will step down from the agency on Feb NegativeWASHINGTON Rob Jackson a Democratic commissioner at the U.S. Securities and Exchange Commission said on Thursday he will step down from the agency on Feb http://www.reuters.com/legal/article/us-usa-sec-jackson-resignation/u-s-sec-democratic-commissioner-jackson-to-step-down-next-month-idUSKBN1ZF1472020-01-17
WASHINGTON U.S. Securities and Exchange Commissioner Rob Jackson told Reuters on Tuesday that he supports socalled direct listings as a way to help bring down the excessive fees companies pay to Wall Street banks in order to go public NegativeWASHINGTON U.S. Securities and Exchange Commissioner Rob Jackson told Reuters on Tuesday that he supports socalled direct listings as a way to help bring down the excessive fees companies pay to Wall Street banks in order to go public http://www.reuters.com/legal/article/us-usa-sec-commissioner-interview/u-s-sec-commissioner-backs-direct-listings-to-rein-in-wall-street-fees-idUSKBN1ZD2O32020-01-15
The U.S. Securities and Exchange Commission on Wednesday took the first step in potentially changing how essential stock market data is governed following years of complaints by brokers that the exchanges that control the data are conflicted in their role NegativeThe U.S. Securities and Exchange Commission on Wednesday took the first step in potentially changing how essential stock market data is governed following years of complaints by brokers that the exchanges that control the data are conflicted in their role http://www.reuters.com/legal/article/us-sec-exchange-data/u-s-sec-proposes-governance-changes-for-stock-market-data-feeds-idUSKBN1Z72JM2020-01-09





SentenceSentimentTitleUrlDate
German automaker BMW AG said on Monday it was being investigated by the U.S. Securities and Exchange Commission following a report of a probe related to the companys sales practices NegativeGerman automaker BMW AG said on Monday it was being investigated by the U.S. Securities and Exchange Commission following a report of a probe related to the companys sales practices http://www.reuters.com/legal/article/us-bmw-probe-sec/bmw-says-being-investigated-by-u-s-sec-idUSKBN1YR2082019-12-25
The U.S. Securities and Exchange Commission has asked for documents from Citadel Securities and GTS the source said NeutralThe U.S. securities regulator has asked at least two trading firms for information regarding a broad investigation into initial public offerings and direct listings going back five years on the New York Stock Exchange a person familiar with the matter told Reuters on Friday http://www.reuters.com/finance/article/us-sec-probe/sec-probes-at-least-two-trading-firms-over-nyse-listings-source-idUSKBN1YO2BX2019-12-21
WASHINGTON The White House is expected to nominate Caroline Crenshaw a Democratic attorney at the U.S. Securities and Exchange Commission to fill an SEC seat being vacated next year by Democratic Commissioner Robert Jackson according to three people with direct knowledge of the matter NeutralWASHINGTON The White House is expected to nominate Caroline Crenshaw a Democratic attorney at the U.S. Securities and Exchange Commission to fill an SEC seat being vacated next year by Democratic Commissioner Robert Jackson according to three people with direct knowledge of the matter http://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-sec-nominations-exclusive/exclusive-white-house-expected-to-nominate-sec-lawyer-for-democratic-commissioner-seat-sources-idUSKBN1YO2CN2019-12-21
WASHINGTON The U.S. Securities and Exchange Commission on Wednesday proposed changes to its decadesold definition of a professional investor in order to allow more Americans to buy shares in private companies PositiveWASHINGTON The U.S. Securities and Exchange Commission on Wednesday proposed changes to its decadesold definition of a professional investor in order to allow more Americans to buy shares in private companies http://www.reuters.com/finance/article/us-usa-sec-investors/sec-proposes-allowing-more-investors-access-to-private-companies-idUSKBN1YM2452019-12-19
The preliminary filing with the U.S. Securities and Exchange Commission did not give any details of the size of the offering PositiveDec 11 Chinas biggest shared workspace provider Ucommune on Wednesday filed paperwork with the U.S. securities regulator for an initial public offering months after WeWork shelved its IPO amid severe investor concerns over its mounting losses http://www.reuters.com/finance/markets/article/ucommune-ipo/chinas-wework-equivalent-ucommune-files-for-u-s-ipo-idUSL4N28L3Q62019-12-12
WASHINGTON The U.S. Securities and Exchange Commission will not introduce on awards to whistleblowers who come forward with key information on fraud and other violations the head of the agency told lawmakers on Tuesday NegativeWASHINGTON The U.S. Securities and Exchange Commission will not introduce on awards to whistleblowers who come forward with key information on fraud and other violations the head of the agency told lawmakers on Tuesday http://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-sec-whistleblower/u-s-sec-chair-says-agency-will-not-impose-caps-on-whistleblower-awards-idUSKBN1YE2BA2019-12-11
The U.S. Securities and Exchange Commission has rejected a proposal by the New York Stock Exchange for a rule change that would allow U.S direct listings to raise new capital like in an initial public offering NYSE said on Friday NeutralThe U.S. Securities and Exchange Commission has rejected a proposal by the New York Stock Exchange for a rule change that would allow U.S direct listings to raise new capital like in an initial public offering NYSE said on Friday http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-sec-directlistings-nyse/sec-rejects-nyses-proposal-on-u-s-direct-listings-idUSKBN1YA2BM2019-12-07
Cole 62 is charged with 10 criminal counts including securities fraud conspiracy and making false statements to the U.S. Securities and Exchange Commission NegativeNEW YORK Iconix Brand Group Inc founder and former Chief Executive Officer Neil Cole has been charged with accounting fraud while the former chief operating officer has pleaded guilty to related charges and is cooperating with authorities federal prosecutors announced Thursday http://www.reuters.com/legal/article/us-iconix-brand-grp-fraud/former-iconix-brand-ceo-charged-with-accounting-fraud-in-u-s-idUSKBN1Y92DK2019-12-06
July 2019 Facebook agrees to pay the U.S. Securities and Exchange Commission million for misleading investors about the misuse of its users data NeutralBig tech companies such as Facebook Inc Alphabet Incs Google Apple Inc and Amazon http://www.reuters.com/news/technology/article/us-tech-antitrust-probe-factbox/factbox-big-tech-faces-growing-number-of-u-s-probes-idUSKBN1Y92G82019-12-06
However given that the U.S. Securities and Exchange Commission does not require disclosure of such lost deductions investors are none the wiser NegativeBOSTON As U.S. corporate jet use approaches prefinancial crisis levels and chief executives take an increasing number of personal trips on the company tab many investors are being kept in the dark about the true cost of the perk http://www.reuters.com/finance/article/us-usa-taxes-jets-insight/off-the-radar-u-s-ceos-jet-perks-add-millions-to-corporate-tax-bills-idUSKBN1Y61312019-12-03
NEW YORK The New York Stock Exchange said on Tuesday it had filed with the U.S. Securities and Exchange Commission to allow companies going public to raise capital through a direct listing instead of an initial public offering PositiveNEW YORK The New York Stock Exchange said on Tuesday it had filed with the U.S. Securities and Exchange Commission to allow companies going public to raise capital through a direct listing instead of an initial public offering http://www.reuters.com/news/mediahttps://www.reuters.com/article/us-nyse-direct-listing/nyse-seeks-to-let-direct-listings-raise-capital-in-ipo-alternative-idUSKBN1Y01TV2019-11-27
WeWork is facing scrutiny from the U.S. Securities and Exchange Commission over whether it violated financial rules in the runup to its abandoned initial public offering Bloomberg reported on Friday citing two people with knowledge of the matter NegativeWeWork is facing scrutiny from the U.S. Securities and Exchange Commission over whether it violated financial rules in the runup to its abandoned initial public offering Bloomberg reported on Friday citing two people with knowledge of the matter http://www.reuters.com/finance/article/us-wework-sec/wework-faces-u-s-sec-inquiry-over-possible-rule-violations-bloomberg-idUSKBN1XP1YE2019-11-16
The Midland Texasbased company also confirmed Reuters report last month that the U.S. Securities and Exchange Commission had opened an investigation in its financial disclosures and reporting NegativeThe Midland Texasbased company also confirmed Reuters report last month that the U.S. Securities and Exchange Commission had opened an investigation in its financial disclosures and reporting http://www.reuters.com/places/africa/article/us-propetro-results/propetro-confirms-u-s-sec-probe-accounting-weaknesses-idUSKBN1XN2QK2019-11-14
Mallinckrodt Plc said on Tuesday it has received a subpoena from the U.S. Securities and Exchange Commission for documents related to the drugmakers lawsuit against the U.S. Department of Health and Human Services NegativeMallinckrodt Plc said on Tuesday it has received a subpoena from the U.S. Securities and Exchange Commission for documents related to the drugmakers lawsuit against the U.S. Department of Health and Human Services http://www.reuters.com/news/health/article/us-mallinckrodt-lawsuit/mallinckrodt-receives-sec-subpoena-over-acthar-gel-lawsuit-idUSKBN1XF2QR2019-11-06
Musk has also previously been accused by the U.S. Securities and Exchange Commission for giving misleading corporate information about Tesla on Twitter NegativeElon Musk has not left Twitter after all http://www.reuters.com/subjects/autos/article/us-tesla-musk/spacex-brings-musk-back-on-twitter-days-after-quitting-idUSKBN1XF1WE2019-11-06
The Baltimorebased company confirmed that it is under investigation and is cooperating with the Justice Department and U.S. Securities and Exchange Commission NegativeThe Baltimorebased company confirmed that it is under investigation and is cooperating with the Justice Department and U.S. Securities and Exchange Commission http://www.reuters.com/finance/article/us-under-armour-probe/under-armour-faces-u-s-federal-probe-over-accounting-practices-wsj-idUSKBN1XD0KZ2019-11-04
Musk has previously been accused by the U.S. Securities and Exchange Commission for disclosing misleading corporate information about Tesla on Twitter NegativeReddit still seems he said http://www.reuters.com/subjects/autos/article/us-tesla-musk/musk-to-go-off-twitter-again-idUSKBN1XB4SY2019-11-02
WASHINGTON Proxy adviser Institutional Shareholder Services Inc on Thursday sued the U.S. Securities and Exchange Commission over guidance aiming to clarify how investors and firms that vote on their behalf should cast their ballots in corporate elections NegativeWASHINGTON Proxy adviser Institutional Shareholder Services Inc on Thursday sued the U.S. Securities and Exchange Commission over guidance aiming to clarify how investors and firms that vote on their behalf should cast their ballots in corporate elections http://www.reuters.com/legal/article/us-usa-sec-proxy-advisers/proxy-adviser-iss-sues-u-s-markets-regulator-over-guidance-aimed-at-curbing-advice-idUSKBN1XA2GW2019-11-02
WASHINGTON The U.S. Securities and Exchange Commission on Wednesday said it was seeking feedback on whether disclosure rules were discouraging firms from issuing SECregistered residential mortgagebacked securities as the Trump administration seeks to overhaul the U.S. housing finance market NegativeWASHINGTON The U.S. Securities and Exchange Commission on Wednesday said it was seeking feedback on whether disclosure rules were discouraging firms from issuing SECregistered residential mortgagebacked securities as the Trump administration seeks to overhaul the U.S. housing finance market http://www.reuters.com/legal/article/us-usa-sec-abs/u-s-sec-considers-relaxing-post-crisis-structured-mortgage-product-rules-idUSKBN1X92MQ2019-10-31
Redmond Washingtonbased Microsoft said in a Wednesday filing with the U.S. Securities and Exchange Commission that Smiths total compensation was for its fiscal year 2019 which ended June 30 NegativeMicrosoft Corp paid its president and top lawyer Bradford Smith more than million in 2019 an almost million raise from 2018 the technology company reported in a filing http://www.reuters.com/legal/article/microsoft-legal-officer-compensation/microsoft-paid-its-legal-chief-more-than-17-mln-in-2019-idUSL2N27224B2019-10-18
Those transactions do not involve current or former customers or vendors the company said in a filing with the U.S. Securities and Exchange Commission NeutralDirector Phillip Gobe was appointed principal executive officer and Darin Holderness was named interim chief financial officer the company said in a regulatory filing http://www.reuters.com/news/mediahttps://www.reuters.com/article/us-propetro-investigation/propetro-reshuffles-top-executives-during-probe-into-accounting-disclosures-idUSKBN1WO2RX2019-10-10
Lauren and Dorothy Zarsky were not criminally charged but reached civil settlements with the U.S. Securities and Exchange Commission PositiveNEW Chris Collins a Republican U.S. congressman from New York state resigned on Monday ahead of his expected guilty plea in a criminal insider trading case http://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-congressman-insidertrading/new-york-congressman-resigns-ahead-of-insider-trading-plea-idUSKBN1WF1U12019-10-01
Delistings from U.S. exchanges could potentially be achieved through U.S. Securities and Exchange Commission reviews or through SEC rulemaking tied to protecting American investors the sources said PositiveNEW YORK Shares of Chinese stocks traded in the United States along with indexing companies slumped on Friday after reports the Trump administration was considering delisting Chinese firms from U.S. stock exchanges and limiting U.S. investment in Chinabased securities http://www.reuters.com/places/chinahttps://www.reuters.com/article/us-usa-trade-stocks/u-s-listed-china-shares-indexers-fall-after-delisting-reports-idUSKBN1WC21Y2019-09-28
Mylan NV has agreed to pay a million fine to settle U.S. Securities and Exchange Commission charges it hid from investors the impact of a federal probe into the drugmakers overbilling the government for its EpiPen allergy treatment NegativeMylan NV has agreed to pay a million fine to settle U.S. Securities and Exchange Commission charges it hid from investors the impact of a federal probe into the drugmakers overbilling the government for its EpiPen allergy treatment http://www.reuters.com/legal/article/us-usa-mylan/mylan-to-pay-30-million-u-s-sec-fine-related-to-epipen-overcharge-probe-idUSKBN1WC1O92019-09-28
WASHINGTON Fiat Chrysler Automobiles NV and its U.S. unit will pay million for misleading investors about its monthly sales figures and will resolve a lengthy probe by the U.S. Securities and Exchange Commission NegativeWASHINGTON Fiat Chrysler Automobiles NV and its U.S. unit will pay million for misleading investors about its monthly sales figures and will resolve a lengthy probe by the U.S. Securities and Exchange Commission http://www.reuters.com/legal/article/us-fiat-chrysler-sec/fiat-chrysler-to-pay-40-million-over-inflated-sales-figures-idUSKBN1WC1Y22019-09-28
9 million to settle U.S. Securities and Exchange Commission charges it engaged in bribery schemes in Peru and China the regulator said on Thursday NegativeInc a Wisconsinbased marketing and printing services company will pay http://www.reuters.com/news/ushttps://www.reuters.com/article/us-sec-quad-graphics/quad-graphics-to-pay-9-9-million-to-settle-u-s-bribery-charges-tied-to-peru-china-idUSKBN1WB2YI2019-09-27
WASHINGTON The head of the U.S. Securities and Exchange Commission repeatedly refused to tell a congressional panel on Tuesday whether or not Facebooks Libra would be regulated as a security under his watch NegativeWASHINGTON The head of the U.S. Securities and Exchange Commission repeatedly refused to tell a congressional panel on Tuesday whether or not Facebooks Libra would be regulated as a security under his watch http://www.reuters.com/legal/article/us-usa-house-sec/u-s-securities-chief-not-prepared-to-say-if-facebooks-libra-a-security-idUSKBN1W92O42019-09-25
PARIS Former Nissan Chairman Carlos Ghosn has reached a civil settlement with the U.S. Securities and Exchange Commission to resolve its investigation of alleged violations of U.S. securities laws Ghosns lawyers said in a statement on Monday NegativePARIS Former Nissan Chairman Carlos Ghosn has reached a civil settlement with the U.S. Securities and Exchange Commission to resolve its investigation of alleged violations of U.S. securities laws Ghosns lawyers said in a statement on Monday http://www.reuters.com/subjects/autos/article/us-nissan-ghosn-united-states/carlos-ghosn-reached-civil-settlement-with-u-s-s-sec-lawyers-idUSKBN1W81OI2019-09-24
WASHINGTON Nissan Motor Co and its former Chief Executive Carlos Ghosn have agreed to settle claims from the U.S. Securities and Exchange Commision over false financial disclosures related to Ghosns compensation an SEC statement said on Monday PositiveWASHINGTON Nissan Motor Co and its former Chief Executive Carlos Ghosn have agreed to settle claims from the U.S. Securities and Exchange Commision over false financial disclosures related to Ghosns compensation an SEC statement said on Monday http://www.reuters.com/subjects/autos/article/us-usa-sec-nissan/nissan-ghosn-settle-u-s-sec-claims-over-undisclosed-compensation-idUSKBN1W81NY2019-09-24
Earlier U.S. Securities and Exchange Commission head Jay Clayton in an onstage interview at the conference would not comment on WeWorks IPO directly NeutralNEW YORK Two top technology investors cautioned against drawing broadconclusions about the valuation of private companies from questions swirling around U.S. officesharing startup WeWork http://www.reuters.com/finance/article/us-deliveringalpha-wework/tech-investors-no-broad-lessons-seen-in-wework-valuation-drama-idUSKBN1W42KA2019-09-20
WASHINGTON The U.S. Securities and Exchange Commission said on Thursday that it had fined and settled with Californiabased Juniper Networks Inc NegativeWASHINGTON The U.S. Securities and Exchange Commission said on Thursday that it had fined and settled with Californiabased Juniper Networks Inc http://www.reuters.com/legal/article/us-usa-sec-fcpa/sec-fines-juniper-networks-more-than-11-7-million-to-settle-internal-control-violations-idUSKCN1VJ2OD2019-08-30
The U.S. Securities and Exchange Commission on Wednesday issued new guidance that aims to clarify how investors and advisory firms that cast ballots on their behalf should vote in corporate elections on issues like pay and diversity NeutralThe U.S. Securities and Exchange Commission on Wednesday issued new guidance that aims to clarify how investors and advisory firms that cast ballots on their behalf should vote in corporate elections on issues like pay and diversity http://www.reuters.com/subjects/aerospace-and-defense/article/us-usa-sec-proxy-advisors/u-s-regulator-votes-to-propose-new-guidelines-on-shareholder-advisers-idUSKCN1VB1Q02019-08-22
WASHINGTON The U.S. Securities and Exchange Commission said on Tuesday that it has fined and settled charges against a Russiabased ratings firm for failure to disclose payments it received to publicize digital asset offerings of issuers it had rated NegativeWASHINGTON The U.S. Securities and Exchange Commission said on Tuesday that it has fined and settled charges against a Russiabased ratings firm for failure to disclose payments it received to publicize digital asset offerings of issuers it had rated http://www.reuters.com/places/russia/article/us-usa-sec-crypto-currencies/sec-fines-russian-firm-for-failing-to-disclose-paid-for-ico-reviews-idUSKCN1VA2A12019-08-21
WASHINGTON The U.S. Securities and Exchange Commission on Tuesday said it would hold a meeting next week on whether to publish new guidance regarding the responsibilities of investors when relying on socalled proxy advisors PositiveWASHINGTON The U.S. Securities and Exchange Commission on Tuesday said it would hold a meeting next week on whether to publish new guidance regarding the responsibilities of investors when relying on socalled proxy advisors http://www.reuters.com/finance/article/us-usa-sec-proxy-advisors/u-s-sec-to-consider-new-guidance-on-investor-use-of-proxy-advisors-idUSKCN1V32462019-08-14
WASHINGTON Aug 8 The U.S. Securities and Exchange Commission on Thursday voted to propose rule changes to the way companies describe business legal and risk factors in their regulatory disclosures NegativeWASHINGTON Aug 8 The U.S. Securities and Exchange Commission on Thursday voted to propose rule changes to the way companies describe business legal and risk factors in their regulatory disclosures http://www.reuters.com/finance/markets/article/usa-sec-disclosures/u-s-sec-proposes-rule-changes-to-company-legal-risk-factor-disclosures-idUSL2N2541LY2019-08-09
WASHINGTON The U.S. Securities and Exchange Commission on Thursday proposed changing the rules governing how publiclytraded companies disclose business legal and risk factors in regulatory filings in a bid to ease their compliance burden NeutralWASHINGTON The U.S. Securities and Exchange Commission on Thursday proposed changing the rules governing how publiclytraded companies disclose business legal and risk factors in regulatory filings in a bid to ease their compliance burden http://www.reuters.com/finance/article/us-usa-sec-disclosures/sec-proposes-rule-changes-to-ease-company-disclosure-compliance-idUSKCN1UY2QL2019-08-09
WASHINGTON Democrats are considering an attorney and a law professor to replace Democratic Commissioner Robert Jackson when he steps down from the U.S. Securities and Exchange Commission expected in coming months according to three people with direct knowledge of the matter NeutralWASHINGTON Democrats are considering an attorney and a law professor to replace Democratic Commissioner Robert Jackson when he steps down from the U.S. Securities and Exchange Commission expected in coming months according to three people with direct knowledge of the matter http://www.reuters.com/finance/markets/article/us-usa-sec-nominations-exclusive/exclusive-democrats-consider-a-lawyer-and-a-law-professor-for-commissioner-seat-at-sec-sources-idUSKCN1US2HB2019-08-03
Federal prosecutors in Boston and the U.S. Securities and Exchange Commission have also opened investigations related to the disaster the company has said NegativeBOSTON Utility operator NiSource Inc on Monday said it will pay million to resolve class action lawsuits brought by residents and businesses that suffered losses caused by a series of gas explosions in three Massachusetts communities last year http://www.reuters.com/news/ushttps://www.reuters.com/article/us-massachusetts-explosions-nisource/nisource-settles-massachusetts-gas-explosion-lawsuits-for-143-million-idUSKCN1UO1JH2019-07-30
NEW YORK Two former executives at American Realty Capital Properties Inc including the onetime billionaire who built it have reached more than million in settlements with the U.S. Securities and Exchange Commission of charges they wrongfully extracted millions of dollars from the real estate investment trust PositiveNEW YORK Two former executives at American Realty Capital Properties Inc including the onetime billionaire who built it have reached more than million in settlements with the U.S. Securities and Exchange Commission of charges they wrongfully extracted millions of dollars from the real estate investment trust http://www.reuters.com/finance/article/us-sec-american-realty-settlement/sec-reaches-60-million-settlements-involving-ex-american-realty-executives-idUSKCN1UB2JO2019-07-17
WASHINGTON The U.S. Securities and Exchange Commission on Monday issued a notice on brokerdealer custody of digital asset securities amid industry requests for clarity on whether they can hold such assets under federal securities laws NeutralWASHINGTON The U.S. Securities and Exchange Commission on Monday issued a notice on brokerdealer custody of digital asset securities amid industry requests for clarity on whether they can hold such assets under federal securities laws http://www.reuters.com/legal/article/us-usa-sec-digital-assets/u-s-market-regulator-issues-guidance-on-custody-of-digital-asset-securities-idUSKCN1U32GA2019-07-09
Musk has previously been accused by the U.S. Securities and Exchange Commission for disclosing misleading corporate information about Tesla on Twitter NegativeSilicon Valley billionaire Elon Musk tweeted http://www.reuters.com/subjects/autos/article/us-tesla-musk/teslas-elon-musk-becomes-daddy-dotcom-on-twitter-idUSKCN1TI1KF2019-06-18
WASHINGTON KPMG LLP has agreed to pay a million fine over allegations former staffers used stolen information to alter some of the accounting firms previous audit work and cheated on training exams the U.S. Securities and Exchange Commission said on Monday NegativeWASHINGTON KPMG LLP has agreed to pay a million fine over allegations former staffers used stolen information to alter some of the accounting firms previous audit work and cheated on training exams the U.S. Securities and Exchange Commission said on Monday http://www.reuters.com/legal//www.reuters.com/article/us-kpmg-usa/kpmg-fined-50-million-for-using-stolen-data-exam-fraud-u-s-sec-idUSKCN1TI1PO2019-06-18
A default judgment was entered in January against Meenavalli in a related U.S. Securities and Exchange Commission civil case filed in April 2018 against him Longfin and three associates NeutralNEW YORK U.S. prosecutors said on Wednesday the former chief executive of Longfin Corp has been indicted for engineering an accounting fraud that inflated the revenue of the nowdefunct cryptocurrency company by more than million http://www.reuters.com/legal/article/us-usa-crime-longfin/u-s-charges-ex-ceo-of-cryptocurrency-company-longfin-with-66-million-fraud-idUSKCN1T62J82019-06-06
WASHINGTON Fiat Chrysler Automobiles U.S. sales chief Reid Bigland sued the ItalianAmerican automaker claiming the company opted to withhold of his 2018 compensation because he has cooperated with a probe by the U.S. Securities and Exchange Commission court documents filed on Wednesday show NegativeWASHINGTON Fiat Chrysler Automobiles U.S. sales chief Reid Bigland sued the ItalianAmerican automaker claiming the company opted to withhold of his 2018 compensation because he has cooperated with a probe by the U.S. Securities and Exchange Commission court documents filed on Wednesday show http://www.reuters.com/legal/article/us-fiat-chrysler-sales-suit/fiat-chrysler-sales-chief-files-whistleblower-suit-over-sec-probe-idUSKCN1T62QL2019-06-06
SAO PAULO The U.S. Securities and Exchange Commission is investigating Siemens AG Philips NV and General Electric Co for allegedly using local middlemen to negotiate bribes with Chinese government and hospital officials to sell medical equipment two U.S. sources with knowledge of the matter told Reuters NegativeSAO PAULO The U.S. Securities and Exchange Commission is investigating Siemens AG Philips NV and General Electric Co for allegedly using local middlemen to negotiate bribes with Chinese government and hospital officials to sell medical equipment two U.S. sources with knowledge of the matter told Reuters http://www.reuters.com/places/brazil/article/us-brazil-corruption-sec-china-exclusive/exclusive-sec-probes-siemens-ge-philips-in-alleged-china-medical-equipment-scheme-idUSKCN1T51512019-06-05
The company intends to list on the Nasdaq under the symbol a filing with the U.S. Securities and Exchange Commission showed NeutralU.S. online luxury reseller The RealReal Inc on Friday filed for an initial public offering with the U.S. securities regulator http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-therealreal-ipo/luxury-online-reseller-the-realreal-files-for-ipo-idUSKCN1T12MT2019-06-01
The U.S. Securities and Exchange Commission is probing whether Boeing Co provided sufficient disclosures about issues related to its 737 MAX jets which have been grounded worldwide after two deadly accidents Bloomberg reported on Friday NegativeThe U.S. Securities and Exchange Commission is probing whether Boeing Co provided sufficient disclosures about issues related to its 737 MAX jets which have been grounded worldwide after two deadly accidents Bloomberg reported on Friday http://www.reuters.com/finance/article/us-boeing-sec-probe/boeing-faces-sec-probe-into-disclosures-about-737-max-problems-bloomberg-idUSKCN1SU1XW2019-05-25
Each ADS represents eight Class A shares the company said in a filing with the U.S. Securities and Exchange Commission last week NeutralNEW KONG Luckin Coffee Inc the Chinese challenger to Starbucks Corp on Thursday priced its U.S. initial public offering at the top end of its targeted range and sold more shares than planned in the biggest U.S. float by a Chinese firm this year http://www.reuters.com/places/chinahttps://www.reuters.com/article/us-luckin-coffee-ipo/starbucks-china-challenger-luckin-raises-561-million-in-u-s-ipo-idUSKCN1SM2SH2019-05-18
13 million civil fine to settle U.S. Securities and Exchange Commission charges over incentives provided to 127 government officials in connection with soccers 2014 World Cup and 2013 Confederations Cup NegativeTelefonica Brasil SA will pay a http://www.reuters.com/legal/article/us-telef-brasil-sec-soccer/u-s-sec-fines-telefonica-brasil-over-world-cup-tickets-idUSKCN1SF2FB2019-05-11
A federal judge on Friday sharply questioned the U.S. Securities and Exchange Commission on the timing of its civil suit filed in March accusing Volkswagen AG of defrauding investors and demanded the agency explain its rationale NegativeA federal judge on Friday sharply questioned the U.S. Securities and Exchange Commission on the timing of its civil suit filed in March accusing Volkswagen AG of defrauding investors and demanded the agency explain its rationale http://www.reuters.com/subjects/autos/article/us-volkswagen-emissions-sec/u-s-judge-questions-sec-on-delay-in-filing-volkswagen-suit-idUSKCN1SG28U2019-05-11
Corp said on Thursday the U.S. Securities and Exchange Commission is investigating the company regarding public disclosures and losses related to wildfires NegativeCorp said on Thursday the U.S. Securities and Exchange Commission is investigating the company regarding public disclosures and losses related to wildfires http://www.reuters.com/legal/article/us-pg-e-us-sec/pge-says-sec-investigating-it-for-disclosures-losses-for-wildfires-idUSKCN1S82C52019-05-03
NEW YORK The U.S. Securities and Exchange Commission on Monday obtained an asset freeze in connection with suspected insider trading in Anadarko Petroleum Corp before the oil company agreed to be acquired by rival Chevron Corp NegativeNEW YORK The U.S. Securities and Exchange Commission on Monday obtained an asset freeze in connection with suspected insider trading in Anadarko Petroleum Corp before the oil company agreed to be acquired by rival Chevron Corp http://www.reuters.com/places/africa/article/us-anadarko-petrol-m-a-chevron-sec/u-s-sec-freezes-assets-over-suspected-insider-trading-in-anadarko-idUSKCN1S51KF2019-04-30
NEW YORK Tesla Inc Chief Executive Elon Musk has reached a deal with the U.S. Securities and Exchange Commission to settle a dispute over his use of Twitter agreeing to submit his public statements about the companys finances and other topics to vetting by its legal counsel according to a court filing on Friday PositiveNEW YORK Tesla Inc Chief Executive Elon Musk has reached a deal with the U.S. Securities and Exchange Commission to settle a dispute over his use of Twitter agreeing to submit his public statements about the companys finances and other topics to vetting by its legal counsel according to a court filing on Friday http://www.reuters.com/finance/article/us-tesla-musk-sec/teslas-musk-agrees-to-new-vetting-rules-for-tweets-in-sec-deal-idUSKCN1S22BV2019-04-27
NEW YORK The U.S. Securities and Exchange Commision has given brokerdealers more time to comply with amendments to a rule that increases transparency around how they handle their customers stock orders according to a recent regulatory filing PositiveNEW YORK The U.S. Securities and Exchange Commision has given brokerdealers more time to comply with amendments to a rule that increases transparency around how they handle their customers stock orders according to a recent regulatory filing http://www.reuters.com/legal/article/us-regulation-sec/u-s-sec-extends-compliance-date-for-revised-order-handling-rule-idUSKCN1S225Z2019-04-27
On Thursday Musk and the U.S. Securities and Exchange Commission are expected to tell a federal judge the status of discussions to resolve their dispute over Musks Twitter use NegativeTesla Inc Chief Executive Elon Musk suggested on Wednesday a capital raise could be imminent as the electric vehicle maker lost million in the first quarter and predicted a return to profit in the third http://www.reuters.com/subjects/autos/article/us-tesla-results/teslas-musk-sees-merit-in-capital-raise-vows-profit-in-third-quarter-after-large-loss-idUSKCN1S02S12019-04-26
NEW YORK Tesla Inc Chief Executive Elon Musk and the U.S. Securities and Exchange Commission will get another week to settle a dispute over Musks use of Twitter a federal judge ruled Thursday NegativeNEW YORK Tesla Inc Chief Executive Elon Musk and the U.S. Securities and Exchange Commission will get another week to settle a dispute over Musks use of Twitter a federal judge ruled Thursday http://www.reuters.com/finance/article/us-tesla-musk-sec/teslas-elon-musk-sec-ask-court-for-another-week-to-work-out-deal-on-twitter-use-idUSKCN1RU2HB2019-04-19
DUBAI Dubais financial services regulator said on Monday that it was in touch with the U.S. Securities and Exchange Commission about the latest case involving collapsed private equity firm Abraaj NegativeDUBAI Dubais financial services regulator said on Monday that it was in touch with the U.S. Securities and Exchange Commission about the latest case involving collapsed private equity firm Abraaj http://www.reuters.com/subjects/middle-easthttps://www.reuters.com/article/us-dubai-abraaj/dubai-regulator-in-contact-with-sec-about-abraaj-case-idUSKCN1RR1IH2019-04-16
In a related case the U.S. Securities and Exchange Commission sued Winterkorn last month saying U.S. investors were informed too late about the Volkswagen diesel emissions scandal alleging massive NegativeGerman prosecutors charged former Volkswagen boss Martin Winterkorn with fraud on Monday over his role in the carmakers manipulation of diesel emissions testing more than three years after the scandal came to light http://www.reuters.com/finance/article/us-volkswagen-emissions-winterkorn/former-volkswagen-ceo-winterkorn-charged-with-fraud-by-german-prosecutors-idUSKCN1RR11O2019-04-16
Abraaj and Naqvi face related civil charges filed on Thursday by the U.S. Securities and Exchange Commission NegativeNEW YORK The chief executive and a managing partner of the collapsed Dubai private equity firm Abraaj Capital Ltd were arrested on U.S. charges that they defrauded their investors including the Bill Melinda Gates Foundation a federal prosecutor said on Thursday http://www.reuters.com/subjects/middle-easthttps://www.reuters.com/article/us-abrraj-usa-crime/top-abraaj-executives-arrested-on-u-s-fraud-charges-idUSKCN1RN2P52019-04-12
WASHINGTON The U.S. securities watchdogs request that a federal judge hold Tesla Inc Chief Executive Elon Musk in contempt over the billionaire entrepreneurs use of Twitter was said a U.S. Securities and Exchange Commission official on Monday NegativeWASHINGTON The U.S. securities watchdogs request that a federal judge hold Tesla Inc Chief Executive Elon Musk in contempt over the billionaire entrepreneurs use of Twitter was said a U.S. Securities and Exchange Commission official on Monday http://www.reuters.com/legal/article/us-usa-sec-jackson-tesla/sec-steps-on-tesla-reasonable-to-prevent-problems-commissioner-idUSKCN1RK2172019-04-09
NEW YORK A federal judge in Manhattan on Friday ordered Tesla Inc Chief Executive Elon Musk and the U.S. Securities and Exchange Commission to meet for at least an hour to try to settle the agencys concerns over the billionaire entrepreneurs use of Twitter NegativeNEW YORK A federal judge in Manhattan on Friday ordered Tesla Inc Chief Executive Elon Musk and the U.S. Securities and Exchange Commission to meet for at least an hour to try to settle the agencys concerns over the billionaire entrepreneurs use of Twitter http://www.reuters.com/finance/article/us-tesla-musk-sec/judge-orders-sec-teslas-musk-to-meet-for-at-least-an-hour-on-new-settlement-idUSKCN1RH28W2019-04-06
NEW YORK A federal judge on Thursday ordered the U.S. Securities and Exchange Commission and Elon Musk to meet over the next two weeks to try to resolve matters underlying the regulators contempt motion against the Tesla Inc chief executive PositiveNEW YORK A federal judge on Thursday ordered the U.S. Securities and Exchange Commission and Elon Musk to meet over the next two weeks to try to resolve matters underlying the regulators contempt motion against the Tesla Inc chief executive http://www.reuters.com/subjects/autos/article/us-tesla-musk-sec-judge/teslas-elon-musk-sec-ordered-by-u-s-judge-to-try-to-settle-idUSKCN1RG2O32019-04-05
NEW YORK Elon Musks job as Tesla Incs chief executive appeared safe on Thursday as a federal judge in Manhattan urged the billionaire to settle contempt allegations by the U.S. Securities and Exchange Commission over his use of Twitter NegativeNEW YORK Elon Musks job as Tesla Incs chief executive appeared safe on Thursday as a federal judge in Manhattan urged the billionaire to settle contempt allegations by the U.S. Securities and Exchange Commission over his use of Twitter http://www.reuters.com/finance/article/us-tesla-musk-sec/elon-musk-safe-for-now-as-u-s-judge-urges-tesla-ceo-sec-to-end-tweet-dispute-idUSKCN1RG13J2019-04-05
NEW YORK Tesla Inc Chief Executive Elon Musk is a prolific user of Twitter and a federal judge on Thursday urged him to settle contempt allegations brought by the U.S. Securities and Exchange Commission over one of his tweets NegativeNEW YORK Tesla Inc Chief Executive Elon Musk is a prolific user of Twitter and a federal judge on Thursday urged him to settle contempt allegations brought by the U.S. Securities and Exchange Commission over one of his tweets http://www.reuters.com/subjects/autos/article/us-tesla-musk-sec-tweets-factbox/factbox-elon-musk-unabridged-on-twitter-idUSKCN1RG1422019-04-05
Exxon Mobil Corp is not required to let its shareholders vote on setting greenhouse gas targets the U.S. Securities and Exchange Commission said on Tuesday agreeing with the companys request to reject the proposal NegativeExxon Mobil Corp is not required to let its shareholders vote on setting greenhouse gas targets the U.S. Securities and Exchange Commission said on Tuesday agreeing with the companys request to reject the proposal http://www.reuters.com/legal/article/us-usa-exxon-mobil-climatechange/u-s-regulator-rules-out-exxon-shareholder-vote-on-climate-resolution-idUSKCN1RE2E52019-04-04
NEW YORK The U.S. Securities and Exchange Commission on Wednesday issued guidelines to help market participants determine whether a digital asset qualifies as a security under federal securities laws and needs to be registered with the regulator PositiveNEW YORK The U.S. Securities and Exchange Commission on Wednesday issued guidelines to help market participants determine whether a digital asset qualifies as a security under federal securities laws and needs to be registered with the regulator http://www.reuters.com/news/technology/article/us-sec-crypto/u-s-sec-issues-guidelines-to-help-analyze-crypto-assets-idUSKCN1RF2BJ2019-04-04
NEW YORK The U.S. Securities and Exchange Commission on Thursday delayed a controversial plan aimed at evaluating how stock exchange fees and incentives affect how brokers trade while the exchanges sue the regulator in an attempt to kill the experiment NegativeNEW YORK The U.S. Securities and Exchange Commission on Thursday delayed a controversial plan aimed at evaluating how stock exchange fees and incentives affect how brokers trade while the exchanges sue the regulator in an attempt to kill the experiment http://www.reuters.com/legal/article/us-sec-exchanges/sec-delays-disputed-plan-to-probe-exchange-pricing-conflicts-idUSKCN1RA09P2019-03-29
NEW YORK Lawyers for Elon Musk and the U.S. Securities and Exchange Commission will square off in a Manhattan courtroom next week over whether the Tesla Inc chief executive should be held in contempt over one of his tweets NegativeNEW YORK Lawyers for Elon Musk and the U.S. Securities and Exchange Commission will square off in a Manhattan courtroom next week over whether the Tesla Inc chief executive should be held in contempt over one of his tweets http://www.reuters.com/legal/article/us-tesla-musk-sec/teslas-elon-musk-sec-to-face-off-in-u-s-court-on-april-4-idUSKCN1R72PF2019-03-27
NEW YORK Elon Musks lawyers said that the U.S. Securities and Exchange Commission failed to satisfy its heavy burden of showing that the Tesla Inc chief executive should be held in contempt and the tweet prompting its contempt motion was both proper and not material NegativeNEW YORK Elon Musks lawyers said that the U.S. Securities and Exchange Commission failed to satisfy its heavy burden of showing that the Tesla Inc chief executive should be held in contempt and the tweet prompting its contempt motion was both proper and not material http://www.reuters.com/finance/article/us-tesla-musk-sec/musks-lawyers-call-tweet-in-secs-contempt-bid-not-material-idUSKCN1R32SF2019-03-23
The U.S. Securities and Exchange Commission is suing Volkswagen and its former chief executive Martin Winterkorn over the German automakers diesel emissions scandal alleging a massive on U.S. investors NegativeThe U.S. Securities and Exchange Commission is suing Volkswagen and its former chief executive Martin Winterkorn over the German automakers diesel emissions scandal alleging a massive on U.S. investors http://www.reuters.com/legal/article/uk-volkswagen-emissions-sec/u-s-sec-sues-volkswagen-ex-ceo-over-alleged-emissions-fraud-on-investors-idUSKCN1QW0J52019-03-16
The U.S. Securities and Exchange Commission is suing Volkswagen and its former chief executive Martin Winterkorn over the scandal accusing the company of perpetrating a massive on U.S. investors NegativeDUEBENDORF Switzerland Engineers working to tackle carcinogenic pollution from cars have developed cheap and simple devices to test the effectiveness of particle filters which could help take toxic vehicles off roads without resorting to blanket bans http://www.reuters.com/subjects/autos/article/us-autos-emissions/engineers-develop-cheap-simple-tests-for-car-emissions-idUSKCN1QW17M2019-03-16
WASHINGTON Volkswagen AG said the U.S. Securities and Exchange Commission may sue the German automaker over its failure to disclose its diesel emissions scandal to investors NegativeWASHINGTON Volkswagen AG said the U.S. Securities and Exchange Commission may sue the German automaker over its failure to disclose its diesel emissions scandal to investors http://www.reuters.com/subjects/autos/article/us-volkswagen-emissions-lawsuit/volkswagen-may-face-u-s-sec-lawsuit-over-failure-to-disclose-emissions-cheating-idUSKCN1QV2P52019-03-15
NEW YORK The U.S. Securities and Exchange Commission is launching a review of the main set of rules governing stock trading opening the door to the biggest potential changes in a decadeandahalf the head of the agency said on Friday PositiveNEW YORK The U.S. Securities and Exchange Commission is launching a review of the main set of rules governing stock trading opening the door to the biggest potential changes in a decadeandahalf the head of the agency said on Friday http://www.reuters.com/finance/article/us-sec-regulation/u-s-sec-to-review-stock-trading-rules-in-big-potential-shakeup-idUSKBN1QP2BT2019-03-09
The bank is being investigated by the U.S. Department of Justice and the U.S. Securities and Exchange Commission as well as authorities in Denmark Estonia Britain and France NegativeSTOCKHOLM Several European banks are facing allegations of being involved in a Baltic money laundering scandal and failing to prevent tainted Russian money from flowing through their branches across the world http://www.reuters.com/places/russia/article/us-europe-moneylaundering-factbox/factbox-european-banks-hit-by-russian-money-laundering-scandal-idUSKCN1QP1P22019-03-09
NEW YORK The U.S. Securities and Exchange Commission is investigating whether the multitiered pricing system used by stock exchanges favors large brokers at the expense of small ones according to a person familiar with the matter PositiveNEW YORK The U.S. Securities and Exchange Commission is investigating whether the multitiered pricing system used by stock exchanges favors large brokers at the expense of small ones according to a person familiar with the matter http://www.reuters.com/finance/article/us-sec-exchanges-fees-exclusive/exclusive-sec-scrutinizes-fairness-of-stock-exchange-pricing-idUSKCN1QO2CY2019-03-08
The costs which far exceeded GEs estimates sent its shares tumbling spurred an investor lawsuit and prompted the U.S. Securities and Exchange Commission to investigate NegativeNEW YORK General Electric Co is setting aside one of the largest amounts ever to cover potential losses on policies that provide longterm care in nursing facilities and patients homes http://www.reuters.com/finance/article/us-ge-insurance/will-14-5-billion-plug-ges-long-term-care-insurance-hole-some-experts-say-no-idUSKCN1QL27V2019-03-05
The U.S. Securities and Exchange Commission and Department of Justice are running parallel probes into Danske over the suspicious payments NegativeSTOCKHOLM The U.S. embassy in Sweden has asked the countrys financial watchdog FI for a meeting to discuss allegations about Swedbanks involvement in a Baltic moneylaundering scandal http://www.reuters.com/subjects/banks/article/us-danske-bank-moneylaundering-swedbank/u-s-embassy-seeks-meeting-with-swedish-watchdog-on-swedbank-idUSKCN1QH2AB2019-03-01
NEW YORK Wells Fargo Co is engaged in preliminary exploratory resolution discussions with the U.S. Department of Justice and the U.S. Securities and Exchange Commission about inquiries into its sales practices the bank said on Wednesday NeutralNEW YORK Wells Fargo Co is engaged in preliminary exploratory resolution discussions with the U.S. Department of Justice and the U.S. Securities and Exchange Commission about inquiries into its sales practices the bank said on Wednesday http://www.reuters.com/legal/article/wells-fargo-filing/wells-fargo-talking-to-justice-dept-securities-regulators-about-sales-practice-queries-idUSKCN1QG2XD2019-02-28
NEW YORK A federal judge on Tuesday ordered Tesla Inc Chief Executive Elon Musk to explain by March 11 why he should not be held in contempt for violating his fraud settlement with the U.S. Securities and Exchange Commission NegativeNEW YORK A federal judge on Tuesday ordered Tesla Inc Chief Executive Elon Musk to explain by March 11 why he should not be held in contempt for violating his fraud settlement with the U.S. Securities and Exchange Commission http://www.reuters.com/finance/article/us-tesla-musk/teslas-musk-must-address-sec-contempt-bid-as-he-calls-agency-broken-idUSKCN1QF2SL2019-02-27
COPENHAGEN The money laundering scandal at Danske Bank deepened on Thursday when the Danish lender said it had received an inquiry from the U.S. Securities and Exchange Commission NegativeCOPENHAGEN The money laundering scandal at Danske Bank deepened on Thursday when the Danish lender said it had received an inquiry from the U.S. Securities and Exchange Commission http://www.reuters.com/subjects/banks/article/us-danske-bank-moneylaundering/danske-bolsters-board-as-u-s-expands-money-laundering-investigation-idUSKCN1QA16W2019-02-22
WASHINGTON The U.S. Securities and Exchange Commission proposed on Tuesday to expand a rule that allows companies to sound prospective investors out privately before going public PositiveWASHINGTON The U.S. Securities and Exchange Commission proposed on Tuesday to expand a rule that allows companies to sound prospective investors out privately before going public http://www.reuters.com/finance/article/us-usa-sec-ipos/u-s-watchdog-proposes-testing-waters-before-public-offerings-idUSKCN1Q82OQ2019-02-20
Billionaire investor Daniel Loebs Third Point LLC on Friday filed with the U.S. Securities and Exchange Commission showing it had dissolved its share stake in United Technologies Corp though it was not immediately clear whether the hedge fund may own the same position in the company through derivatives NegativeBillionaire investor Daniel Loebs Third Point LLC on Friday filed with the U.S. Securities and Exchange Commission showing it had dissolved its share stake in United Technologies Corp though it was not immediately clear whether the hedge fund may own the same position in the company through derivatives http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-utc-thirdpoint/third-point-dissolves-share-stake-in-united-technologies-idUSKCN1PX2H22019-02-09
Grocery and food delivery platform Postmates Inc said on Thursday it had confidentially filed for an initial public offering with the U.S. Securities and Exchange Commission PositiveGrocery and food delivery platform Postmates Inc said on Thursday it had confidentially filed for an initial public offering with the U.S. Securities and Exchange Commission http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-postmates-ipo/postmates-confidentially-files-for-ipo-idUSKCN1PW2HS2019-02-08
SAO PAULO Feb 6 Eldorado Brasil Celulose SA said on Wednesday that financial information in a bond prospectus is accurate responding to a shareholder that alleged in letters to the U.S. Securities and Exchange Commission that it contained material inaccuracies Neutralshareholder http://www.reuters.com/finance/markets/article/eldorado-brasil-bonds/update-1-brazils-eldorado-says-prospectus-is-accurate-after-holder-allegation-idUSL1N2011PV2019-02-07
Slack Technologies Inc said on Monday it had confidentially applied with the U.S. Securities and Exchange Commission to list shares publicly moving business messaging service a step closer to going public in what is expected to be a highprofile year for initial public offerings NeutralSlack Technologies Inc said on Monday it had confidentially applied with the U.S. Securities and Exchange Commission to list shares publicly moving business messaging service a step closer to going public in what is expected to be a highprofile year for initial public offerings http://www.reuters.com/news/technology/article/us-slack-ipo/slack-makes-confidential-filing-to-go-public-idUSKCN1PT1T82019-02-05
Iconix has written off almost the entire value of the Rocawear brand and the U.S. Securities and Exchange Commission has been probing its writedowns NeutralNEW YORK JayZ has agreed to privately arbitrate a trademark and contract dispute with clothing company Iconix Brand Group Inc his lawyers said on Wednesday after enough AfricanAmerican arbitrators became eligible to handle the case http://www.reuters.com/news/mediahttps://www.reuters.com/article/us-people-jayz-lawsuit/jay-z-wins-fight-for-african-american-arbitrators-in-trademark-case-idUSKCN1PO32T2019-01-31
TOKYO Nissan Motor Co Ltd said on Monday it was the target of a U.S. Securities and Exchange Commission inquiry widening a scandal involving the Japanese firm and its ousted Chairman Carlos Ghosn over his alleged financial misconduct NegativeTOKYO Nissan Motor Co Ltd said on Monday it was the target of a U.S. Securities and Exchange Commission inquiry widening a scandal involving the Japanese firm and its ousted Chairman Carlos Ghosn over his alleged financial misconduct http://www.reuters.com/places/japan/article/us-nissan-sec-probe/nissan-says-its-target-of-sec-inquiry-after-report-of-probe-on-exec-pay-idUSKCN1PM09W2019-01-29
TOKYO Nissan Motor Co Ltd on Monday said it was the target of a U.S. Securities and Exchange Commission inquiry as the Japanese automaker itself faces scrutiny in a financial scandal it has blamed on ousted chairman Carlos Ghosn NegativeTOKYO Nissan Motor Co Ltd on Monday said it was the target of a U.S. Securities and Exchange Commission inquiry as the Japanese automaker itself faces scrutiny in a financial scandal it has blamed on ousted chairman Carlos Ghosn http://www.reuters.com/places/japan/article/us-nissan-sec-probe/nissan-says-co-operating-with-sec-inquiry-after-report-of-probe-on-executive-pay-idUSKCN1PM09W2019-01-28
U.S. authorities on Tuesday charged a suspected Ukrainian computer hacker and several traders with scheming to trade on marketmoving corporate earnings news stolen from a U.S. Securities and Exchange Commission database NegativeU.S. authorities on Tuesday charged a suspected Ukrainian computer hacker and several traders with scheming to trade on marketmoving corporate earnings news stolen from a U.S. Securities and Exchange Commission database http://www.reuters.com/legal/article/us-usa-cyber-stocks/u-s-charges-hackers-traders-with-stealing-sec-filings-idUSKCN1P91MX2019-01-16
The company made the filing with the U.S. Securities and Exchange Commission for the listing which could happen in the first half of this year the sources said NegativeHONG YORK Chinese conglomerate Dalian Wanda Group has filed confidentially for a U.S. initial public offering of its sports unit that could fetch up to million according to sources with direct knowledge of the matter http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-wanda-sports-ipo/chinas-wanda-files-for-u-s-ipo-of-sports-unit-to-raise-up-to-500-million-sources-idUSKCN1P50KD2019-01-12
WASHINGTON Hertz Global Holdings has agreed to pay a million fine to settle a case over accounting misstatement the U.S. Securities and Exchange Commission said in an order filed on Monday NegativeWASHINGTON Hertz Global Holdings has agreed to pay a million fine to settle a case over accounting misstatement the U.S. Securities and Exchange Commission said in an order filed on Monday http://www.reuters.com/finance/article/us-usa-sec-hertz/hertz-global-to-pay-16-million-fine-to-settle-accounting-case-sec-idUSKCN1OU13G2019-01-01





SentenceSentimentTitleUrlDate
52 million to settle U.S. Securities and Exchange Commission civil charges over his alleged role in schemes that left investors with virtually worthless stock NegativeNEW YORK Florida biotechnology billionaire Phillip Frost has agreed to pay http://www.reuters.com/subjects/middle-easthttps://www.reuters.com/article/us-sec-opko-health/florida-biotech-billionaire-settles-sec-stock-manipulation-case-idUSKCN1OQ1L22018-12-28
Headsets maker Plantronics Inc said on Wednesday it has entered an agreement with the U.S. Securities and Exchange Commission to settle an investigation into Polycom Inc which it acquired in July NegativeHeadsets maker Plantronics Inc said on Wednesday it has entered an agreement with the U.S. Securities and Exchange Commission to settle an investigation into Polycom Inc which it acquired in July http://www.reuters.com/news/technology/article/us-plantronics-sec/plantronics-to-pay-36-million-to-settle-sec-investigation-into-polycom-idUSKCN1OP1DN2018-12-27
The U.S. Securities and Exchange Commission has been warning since July 2017 that cryptocurrencies may be securities which would make them subject to the federal securities laws NegativeNEW YORK Basis a cryptocurrency project that in April announced it had raised million from a slew of high profile investors said on Thursday that it was shutting down and returning the funds to its backers because of regulatory concerns http://www.reuters.com/news/technology/article/us-crypto-currency-basis/cryptocurrency-project-basis-to-shut-down-and-return-funding-to-investors-idUSKBN1OC2OV2018-12-14
Tesla Chief Executive Officer Elon Musk had hired Butswinkas to help settle a case with the U.S. Securities and Exchange Commission Bloomberg had reported in October NegativeTesla Inc has hired Dane Butswinkas a Washington D.C. trial lawyer as its general counsel the electric car manufacturer said late on Thursday http://www.reuters.com/finance/article/us-tesla-counsel/tesla-hires-washington-trial-lawyer-as-new-general-counsel-idUSKBN1O60EW2018-12-07
The U.S. Securities and Exchange Commission has canceled an open meeting scheduled for Wednesday at which it was due to discuss potentially issuing a consultation on changing quarterly reporting obligations NegativeNEW YORK U.S. President Donald Trump signed an order to close the federal government on Wednesday Dec http://www.reuters.com/news/ushttps://www.reuters.com/article/us-people-bush-economy-factbox/u-s-event-market-closures-for-funeral-of-former-president-bush-idUSKBN1O22LM2018-12-04
In May a federal judge ordered him to respond to a U.S. Securities and Exchange Commission subpoena related to the Rocawear sale NeutralNEW YORK JayZ on Wednesday sued to halt his private arbitration with clothing company Iconix Brand Group Inc saying the companys inability to find an AfricanAmerican arbitrator to hear the trademark dispute was unfair http://www.reuters.com/news/entertainmenthttps://www.reuters.com/article/us-people-jayz-lawsuit/citing-racial-bias-jay-z-seeks-to-halt-arbitration-against-iconix-idUSKCN1NX2JM2018-12-01
97 billion from the fund which is run by former U.S. Securities and Exchange Commission Chairman Richard Breeden NegativeNEW YORK Victims of Bernard Madoffs Ponzi scheme will soon receive another http://www.reuters.com/news/ushttps://www.reuters.com/article/us-madoff-payout/more-money-for-madoff-victims-nearly-10-years-after-his-arrest-idUSKCN1NY2EX2018-11-30
and a music producer known as DJ failed to disclose payments they received for promoting investments in initial coin offerings the U.S. Securities and Exchange Commission said on Thursday NegativeWASHINGTON Boxer Floyd Mayweather Jr http://www.reuters.com/news/technology/article/us-usa-sec-cryptocurrency/boxer-floyd-mayweather-and-dj-khaled-charged-by-sec-over-token-offerings-idUSKCN1NY2T32018-11-30
Canadian gaming and entertainment operator Gateway Casinos Entertainment Ltd on Tuesday filed for an initial public offering with the U.S. Securities and Exchange Commission to list its shares on the New York Stock Exchange under the symbol PositiveCanadian gaming and entertainment operator Gateway Casinos Entertainment Ltd on Tuesday filed for an initial public offering with the U.S. Securities and Exchange Commission to list its shares on the New York Stock Exchange under the symbol http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-gateway-casin-ipo/canadas-gateway-casinos-entertainment-files-for-u-s-ipo-to-list-on-nyse-idUSKCN1NP1CQ2018-11-21
WASHINGTON The U.S. Securities and Exchange Commission settled charges on Friday with two technology companies for improperly offering digital tokens mandating that they register their offerings as securities and reimburse investors NegativeWASHINGTON The U.S. Securities and Exchange Commission settled charges on Friday with two technology companies for improperly offering digital tokens mandating that they register their offerings as securities and reimburse investors http://www.reuters.com/legal/article/us-usa-sec-crypto-currency/u-s-regulator-settles-with-tech-startups-over-token-sale-violations-idUSKCN1NL2AR2018-11-17
Tesla Inc has named director Robyn Denholm as board chair fulfilling a demand by the U.S. Securities and Exchange Commission to strip the job from Elon Musk the electric car makers wayward chief executive who has dragged the company through months of turbulence NegativeTesla Inc has named director Robyn Denholm as board chair fulfilling a demand by the U.S. Securities and Exchange Commission to strip the job from Elon Musk the electric car makers wayward chief executive who has dragged the company through months of turbulence http://www.reuters.com/finance/article/us-tesla-chair/tesla-names-director-denholm-to-replace-musk-as-board-chair-idUSKCN1ND0PI2018-11-09
WASHINGTON Nov 7 Citibank will pay more than million to the U.S. Securities and Exchange Commission for abuse in handling American Depositary Receipts the regulator said in a statement on Wednesday NegativeWASHINGTON Nov 7 Citibank will pay more than million to the U.S. Securities and Exchange Commission for abuse in handling American Depositary Receipts the regulator said in a statement on Wednesday http://www.reuters.com/news/mediahttps://www.reuters.com/article/usa-sec-citibank/u-s-sec-fines-citibank-more-than-38-million-for-mishandling-adrs-idUSEMN16OSFJ2018-11-08
SAN FRANCISCO Tesla Inc said on Friday it had received a subpoena from the U.S. Securities and Exchange Commission over forecasts it made about Model 3 production in 2017 a set of targets the electric vehicle company failed to hit on time NegativeSAN FRANCISCO Tesla Inc said on Friday it had received a subpoena from the U.S. Securities and Exchange Commission over forecasts it made about Model 3 production in 2017 a set of targets the electric vehicle company failed to hit on time http://www.reuters.com/finance/article/us-tesla-sec/u-s-securities-regulator-subpoenas-tesla-on-model-3-production-estimates-idUSKCN1N71QY2018-11-03
A Musk trust owns 54 percent of the outstanding stock of SpaceX according to a 2016 U.S. Securities and Exchange Commission filing SpaceXs most recent PositiveFla http://www.reuters.com/finance/article/us-spacex-starlink-insight/musk-shakes-up-spacex-in-race-to-make-satellite-launch-window-sources-idUSKCN1N50FC2018-10-31
According to the source UBS is reviewing options and is likely to approach the U.S. Securities and Exchange Commission to seek regulatory permission for some currently offlimits products PositiveAccording to the source UBS is reviewing options and is likely to approach the U.S. Securities and Exchange Commission to seek regulatory permission for some currently offlimits products http://www.reuters.com/finance/article/us-ubs-ermotti/ubs-may-seek-clearance-to-sell-more-products-to-u-s-ex-pats-in-switzerland-idUSKCN1N20GL2018-10-29
The U.S. Securities and Exchange Commission said on Tuesday it had agreed to settle a fraud case with Texas oil and gas businessman Christopher Faulkner for NegativeThe U.S. Securities and Exchange Commission said on Tuesday it had agreed to settle a fraud case with Texas oil and gas businessman Christopher Faulkner for http://www.reuters.com/legal/article/us-texas-fraud-frackmaster/sec-settles-fraud-case-with-texas-oil-man-frack-master-idUSKCN1MX2QK2018-10-25
Tesla and Musk have each agreed to pay million under a settlement with the U.S. Securities and Exchange Commission of a fraud lawsuit relating to tweets by Musk in August NegativeTesla and Musk have each agreed to pay million under a settlement with the U.S. Securities and Exchange Commission of a fraud lawsuit relating to tweets by Musk in August http://www.reuters.com/finance/article/us-tesla-musk/musk-to-buy-20-million-in-tesla-stock-idUSKCN1MR1XG2018-10-18
WASHINGTON Public companies that fail to tighten their cyber security controls could be violating federal law the U.S. Securities and Exchange Commission said on Tuesday NegativeWASHINGTON Public companies that fail to tighten their cyber security controls could be violating federal law the U.S. Securities and Exchange Commission said on Tuesday http://www.reuters.com/news/mediahttps://www.reuters.com/article/us-usa-sec-cyber/sec-warns-corporate-cyber-weakness-could-violate-federal-law-idUSKCN1MQ2MT2018-10-17
The company recently settled with the U.S. Securities and Exchange Commission a lawsuit that had threatened to force him out NegativeElectric carmaker Tesla Inc said http://www.reuters.com/subjects/autos/article/us-tesla-tax-credit/tesla-says-orders-placed-by-oct-15-eligible-for-full-tax-credit-idUSKCN1MM0L92018-10-13
The U.S. Securities and Exchange Commission Tesla Inc and Chief Executive Officer Elon Musk submitted a joint filing late on Wednesday in support of a settlement saying the terms were in the best interest of investors NegativeThe U.S. Securities and Exchange Commission Tesla Inc and Chief Executive Officer Elon Musk submitted a joint filing late on Wednesday in support of a settlement saying the terms were in the best interest of investors http://www.reuters.com/legal/article/uk-tesla-musk-sec/sec-tesla-support-approval-of-settlement-idUSKCN1ML13Y2018-10-12
Greenlights letter came one day after Musk a longtime critic of shortsellers appeared to taunt the U.S. Securities and Exchange Commission by calling it the Shortseller Enrichment on Twitter NegativeGreenlights letter came one day after Musk a longtime critic of shortsellers appeared to taunt the U.S. Securities and Exchange Commission by calling it the Shortseller Enrichment on Twitter http://www.reuters.com/finance/article/us-apple-greenlight-stake/despondent-musks-tesla-resembles-lehman-greenlights-einhorn-says-idUSKCN1MF27C2018-10-06
NEW YORK Tesla Incs Elon Musk on Thursday mocked the U.S. Securities and Exchange Commission just hours after a federal judge ordered him and the regulator to justify their securities fraud settlement which let Musk remain chief executive NeutralNEW YORK Tesla Incs Elon Musk on Thursday mocked the U.S. Securities and Exchange Commission just hours after a federal judge ordered him and the regulator to justify their securities fraud settlement which let Musk remain chief executive http://www.reuters.com/finance/article/us-tesla-musk-sec/teslas-musk-mocks-sec-as-judge-demands-they-justify-fraud-settlement-idUSKCN1ME2CC2018-10-05
Oct 4 A New York district court judge has asked Tesla Inc Chief Executive Officer Elon Musk and U.S. Securities and Exchange Commission to provide a joint statement by Oct Negativedropped words in third http://www.reuters.com/legal/article/tesla-musk-sec/refile-judge-tells-tesla-sec-to-justify-lawsuit-deal-before-settling-idUSL4N1WK3F02018-10-05
Tesla Inc Chief Executive Elon Musk on Thursday mocked the U.S. Securities and Exchange Commission hours after a federal judge ordered him and the regulator to justify their settlement of securities fraud charges NegativeTesla Inc Chief Executive Elon Musk on Thursday mocked the U.S. Securities and Exchange Commission hours after a federal judge ordered him and the regulator to justify their settlement of securities fraud charges http://www.reuters.com/finance/article/us-tesla-musk-sec/teslas-musk-ordered-to-defend-fraud-settlement-takes-aim-at-sec-idUSKCN1ME2CC2018-10-05
Tesla and its CEO Elon Musk did not admit liability in this weekends million settlement with the U.S. Securities and Exchange Commission NegativeTesla and its CEO Elon Musk did not admit liability in this weekends million settlement with the U.S. Securities and Exchange Commission http://www.reuters.com/legal/article/us-otc-tesla/how-secs-case-against-tesla-musk-boosts-investor-class-actions-idUSKCN1MB3MC2018-10-02
WASHINGTON The U.S. Securities and Exchange Commission said on Saturday that carmaker Tesla and Chief Executive Elon Musk had agreed to pay million each under a settlement that will also see the billionaire step down as chairman after a tumultuous two months for the company NegativeWASHINGTON The U.S. Securities and Exchange Commission said on Saturday that carmaker Tesla and Chief Executive Elon Musk had agreed to pay million each under a settlement that will also see the billionaire step down as chairman after a tumultuous two months for the company http://www.reuters.com/finance/article/us-tesla-musk-sec/tesla-musk-pay-40-million-to-settle-tweet-charges-musk-to-resign-as-chairman-idUSKCN1M90SY2018-09-30
WASHINGTON U.S. Securities and Exchange Commission chairman Jay Clayton said in a statement on Saturday that the agencys settlement with carmaker Tesla was in the best interests of the U.S. markets and company shareholders NegativeWASHINGTON U.S. Securities and Exchange Commission chairman Jay Clayton said in a statement on Saturday that the agencys settlement with carmaker Tesla was in the best interests of the U.S. markets and company shareholders http://www.reuters.com/subjects/autos/article/us-tesla-musk-clayton/sec-chairman-says-tesla-settlement-in-best-interests-of-shareholders-idUSKCN1M90U32018-09-30
NEW YORK SeaWorld Entertainment Inc and former Chief Executive James Atchison will pay more than million to settle U.S. Securities and Exchange Commission charges that they misled investors about the negative impact of the documentary on the company NegativeNEW YORK SeaWorld Entertainment Inc and former Chief Executive James Atchison will pay more than million to settle U.S. Securities and Exchange Commission charges that they misled investors about the negative impact of the documentary on the company http://www.reuters.com/news/ushttps://www.reuters.com/article/us-sec-seaworld/seaworld-ex-ceo-settle-sec-charges-they-hid-blackfish-impact-idUSKCN1LY2IW2018-09-18
6 million to the U.S. Securities and Exchange Commission to settle related civil claims but did not admit or deny wrongdoing NegativeNEW YORK Two former partners of the hedge fund Deerfield Management were sentenced to three years in prison on Thursday after being convicted of taking part in what prosecutors have described as an insider trading scheme based on leaks from within a federal healthcare agency http://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-crime-healthcare-insidertrading/ex-deerfield-partners-get-prison-in-case-over-u-s-agency-leaks-idUSKCN1LT2YG2018-09-14
WASHINGTON The U.S. Securities and Exchange Commission handed public companies a procedural victory on Thursday in their efforts to reduce the influence of proxy advisory firms rescinding a pair of staff letters that critics said encouraged mutual funds to rely on their recommendations NegativeWASHINGTON The U.S. Securities and Exchange Commission handed public companies a procedural victory on Thursday in their efforts to reduce the influence of proxy advisory firms rescinding a pair of staff letters that critics said encouraged mutual funds to rely on their recommendations http://www.reuters.com/finance/article/us-usa-sec-proxy/sec-rescinds-guidance-that-bolstered-proxy-advisers-idUSKCN1LT39S2018-09-14
NEW YORK The U.S. Securities and Exchange Commission said on Sunday it was immediately suspending trading in two investment products that track cryptocurrencies citing confusion in the markets over whether the products are exchangetraded funds NegativeNEW YORK The U.S. Securities and Exchange Commission said on Sunday it was immediately suspending trading in two investment products that track cryptocurrencies citing confusion in the markets over whether the products are exchangetraded funds http://www.reuters.com/finance/article/us-usa-cryptocurrency-sec/sec-halts-trading-in-two-cryptocurrency-products-citing-market-confusion-idUSKCN1LP0TW2018-09-10
Morton whose departure comes after the U.S. Securities and Exchange Commission opened an inquiry into Musks aborted plan joins a list of executives who have left Tesla recently NegativeTesla Incs shares dropped the most in two years on Friday rocked by the departure of its accounting chief after just a month and mounting investor concerns about Chief Executive Elon Musks behavior after he smoked marijuana on a live webcast http://www.reuters.com/finance/article/us-tesla-moves/tesla-rocked-by-latest-executive-shakeup-musks-behavior-on-webcast-idUSKCN1LN1MH2018-09-07
But Musks abrupt Friday announcement that he was dropping his plan and media reports of a U.S. Securities and Exchange Commission probe into his tweets have galvanized Tesla bears NegativeSAN An online army of skeptics and amateur sleuths that has spent years promoting bets against Tesla Inc senses an opportunity to renew pressure on the electric carmaker after the failure of Chief Executive Elon Musks plan to take it private http://www.reuters.com/finance/article/us-tesla-musk-shorts/drones-and-stakeouts-how-tesla-haters-put-pressure-on-ceo-musk-idUSKCN1LE2FC2018-08-30
NEW YORK The U.S. Securities and Exchange Commission on Monday urged stock and options exchanges to work together with industry members to complete a longoverdue trading data base the regulator needs to police the market NegativeNEW YORK The U.S. Securities and Exchange Commission on Monday urged stock and options exchanges to work together with industry members to complete a longoverdue trading data base the regulator needs to police the market http://www.reuters.com/legal//www.reuters.com/article/us-usa-stocks-regulation-cat/sec-urges-completion-of-long-delayed-trading-database-idUSKCN1LC2FA2018-08-28
Musk and Tesla face a series of investor lawsuits and a U.S. Securities and Exchange Commission investigation into the factual accuracy of Musks tweet NegativeLONDON Germanylisted shares in Tesla TSLA.TG fell more than 3 percent in early deals on the Tradegate exchange on Monday after Chief Executive Elon Musk called off his bid to take the company private http://www.reuters.com/subjects/autoshttps://www.reuters.com/article/us-tesla-musk-stocks-german/teslas-german-shares-fall-after-ceo-musk-drops-plan-to-take-company-private-idUSKCN1LC0IC2018-08-27
NEW The U.S. Securities and Exchange Commission said on Thursday it will review a decision by its staff to block nine bitcoinbased exchangetraded funds from coming to market NegativeNEW The U.S. Securities and Exchange Commission said on Thursday it will review a decision by its staff to block nine bitcoinbased exchangetraded funds from coming to market http://www.reuters.com/finance/article/us-bitcoin-etf/sec-to-review-decision-rejecting-bitcoin-etfs-idUSKCN1L82LB2018-08-24
The U.S. Securities and Exchange Commission has started clamping down on initial coin offerings or online fundraisers where new virtual tokens are issued to contributors NegativeNEW YORK U.S.based cryptocurrency exchange Bittrex is partnering with registered brokerdealer Rialto Trading to offer a trading venue for blockchainbased digital assets the companies said on Thursday http://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-crypto-currencies-bittrex/cryptocurrency-exchange-bittrex-teams-with-registered-trading-venue-rialto-idUSKCN1L81BG2018-08-23
WASHINGTON The U.S. Securities and Exchange Commission has charged two former top executives at Endurance International Group Holdings Inc for allegedly inflating operating metrics the regulatory agency said on Tuesday NegativeWASHINGTON The U.S. Securities and Exchange Commission has charged two former top executives at Endurance International Group Holdings Inc for allegedly inflating operating metrics the regulatory agency said on Tuesday http://www.reuters.com/news/mediahttps://www.reuters.com/article/us-endurance-intl-sec/u-s-charges-ex-online-marketing-executives-at-eigi-constant-contact-idUSKCN1L61JV2018-08-22
5 million to settle charges that it failed to safeguard client assets after five of its representatives allegedly stole more than million the U.S. Securities and Exchange Commission said on Wednesday NegativeWASHINGTON Ameriprise Financial Services Inc will pay http://www.reuters.com/legal/article/us-ameriprise-fin-sec/sec-charges-ameriprise-for-not-safeguarding-client-assets-idUSKBN1L01K02018-08-19
Chinese content aggregator Qutoutiao Inc which is backed by technology giant Tencent Holdings Ltd filed for an initial public offering of up to million with the U.S. Securities and Exchange Commission on Friday NegativeChinese content aggregator Qutoutiao Inc which is backed by technology giant Tencent Holdings Ltd filed for an initial public offering of up to million with the U.S. Securities and Exchange Commission on Friday http://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-qutoutiao-ipo/tencent-backed-qutoutiao-files-for-u-s-ipo-idUSKBN1L22BV2018-08-19
Such a switch would mark a huge change in the U.S. Securities and Exchange Commissions disclosure requirements and put them in line with European Union and United Kingdom rules NeutralNEW U.S. President Donald Trump asked securities regulators to explore replacing quarterly reporting requirements with halfyearly filings at the urging of executives including PepsiCo Chief Executive Indra Nooyi reigniting a debate about how often companies should give financial updates to investors http://www.reuters.com/finance/article/us-usa-sec-trump/trump-backs-ceos-proposes-easing-corporate-reporting-rules-idUSKBN1L217G2018-08-19
The U.S. Securities and Exchange Commission under President Donald Trump has moved away from the practice of leveling huge monetary penalties against corporations NegativeThe U.S. Securities and Exchange Commission under President Donald Trump has moved away from the practice of leveling huge monetary penalties against corporations http://www.reuters.com/legal/article/legal-us-otc-tesla/tesla-musk-face-sec-wrist-slap-at-worst-experts-say-idUSKBN1L025N2018-08-19
U.S. President Donald Trump said on Friday he has asked the U.S. Securities and Exchange Commission to study the impact of allowing companies to file reports with the financial regulator every six months instead of every quarter NegativeU.S. President Donald Trump said on Friday he has asked the U.S. Securities and Exchange Commission to study the impact of allowing companies to file reports with the financial regulator every six months instead of every quarter http://www.reuters.com/politicshttps://www.reuters.com/article/us-usa-sec-trump-instantview/trump-asks-sec-to-mull-half-year-corporate-filings-idUSKBN1L21F12018-08-19
The stock has since given back more than twothirds of that gain in part following reports that the U.S. Securities and Exchange Commission had begun inquiring about Musks activity NegativeTesla Inc and Chief Executive Elon Musk were sued twice on Friday by investors who said they fraudulently engineered a scheme to squeeze shortsellers including through Musks proposal to take the electric car company private http://www.reuters.com/finance/article/us-tesla-musk-lawsuit/lawsuits-accuse-teslas-musk-of-fraud-over-tweets-going-private-proposal-idUSKBN1KV2IQ2018-08-11
The U.S. Securities and Exchange Commission has contacted Tesla to ask about Musks assertion on Twitter that funding for his proposed deal was the Wall Street Journal reported on Wednesday Negativehttp://www.reuters.com/finance/article/us-tesla-musk-exclusive/exclusive-teslas-board-seeking-more-information-on-musks-financing-plan-sources-idUSKBN1KU2NK2018-08-10
In a statement the company said it had cooperated fully with requests for information from the U.S. Securities and Exchange Commission NeutralIn a statement the company said it had cooperated fully with requests for information from the U.S. Securities and Exchange Commission http://www.reuters.com/politicshttps://www.reuters.com/article/us-usa-congressman-insidertrading-innate/australian-biotech-company-innate-says-not-subject-of-collins-investigation-idUSKBN1KU03X2018-08-09
NEW YORK Former U.S. Securities and Exchange Commission chairman Arthur Levitt and former Federal Deposit Insurance Corp chair Sheila Bair have joined the board of advisors of cryptocurrency trading platform Omniex the company said on Tuesday NegativeNEW YORK Former U.S. Securities and Exchange Commission chairman Arthur Levitt and former Federal Deposit Insurance Corp chair Sheila Bair have joined the board of advisors of cryptocurrency trading platform Omniex the company said on Tuesday http://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-cryptocurrency-omniex/ex-regulators-join-advisory-board-of-cryptocurrency-startup-omniex-idUSKBN1KS1DS2018-08-07
The investigation by the law firm Debevoise Plimpton will be led by Mary Jo White a former chair of the U.S. Securities and Exchange Commission CBS said NeutralThe board has also set up a special committee to help the probe and Moonves will have no role in the investigation CBS said in a statement http://www.reuters.com/finance/article/us-cbs-moonves/cbs-hires-law-firms-to-probe-ceo-moonves-misconduct-allegations-idUSKBN1KN0782018-08-02
Last Thursday the U.S. Securities and Exchange Commission backed an earlier decision to not allow a bitcointracking exchangetraded fund proposed by Cameron and Tyler Winklevoss to trade NegativeNEW YORK Bitcoin briefly fell below on Monday as investors scaled back their exposure to cryptocurrenices after a selloff in shares of technology and internet companies spilled over into other risky assets http://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-cryptocurrency-bitcoin/bitcoin-slips-below-8000-as-investors-step-away-from-risk-idUSKBN1KK29M2018-07-31
NEW The U.S. Securities and Exchange Commission on Thursday stood by a decision blocking an exchangetraded fund that would have tracked bitcoin citing concerns about market manipulation NegativeNEW The U.S. Securities and Exchange Commission on Thursday stood by a decision blocking an exchangetraded fund that would have tracked bitcoin citing concerns about market manipulation http://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-bitcoin-etf/u-s-regulator-stands-by-decision-to-block-winklevoss-bitcoin-etf-idUSKBN1KG30J2018-07-27
It will however still report the metric in filings with the U.S. Securities and Exchange Commission NegativeNEW YORK July 26 Alternative asset manager KKR Co on Thursday reported a 46 percent yearonyear rise in distributable earnings for the second quarter boosted by selling down stakes in investments like GoDaddy Inc and Gardner Denver Holdings http://www.reuters.com/finance/markets/article/kkr-results/kkr-q2-earnings-jump-boosted-by-selling-down-godaddy-gardner-denver-stakes-idUSL5N1UL8S52018-07-26
A former senior executive at a Silicon Valley company now owned by Corning Inc agreed to pay including a fine to settle U.S. Securities and Exchange Commission charges of insider trading the regulator said on Tuesday NeutralA former senior executive at a Silicon Valley company now owned by Corning Inc agreed to pay including a fine to settle U.S. Securities and Exchange Commission charges of insider trading the regulator said on Tuesday http://www.reuters.com/news/ushttps://www.reuters.com/article/us-sec-insidertrading-li/silicon-valley-executive-settles-sec-insider-trading-charges-idUSKBN1KE2Q12018-07-25
On June 25 Toshiba said the U.S. Securities and Exchange Commission had completed a probe into its accounting and had decided not to impose a fine Neutralhttp://www.reuters.com/places/japan/article/us-toshiba-accounting/toshiba-may-face-renewed-shareholder-accounting-claims-u-s-appeals-court-idUSKBN1K72LH2018-07-18
63 billion from a U.S. listing its latest filing with the U.S. Securities and Exchange showed in what would be the secondbiggest U.S. float by a Chinese firm this year Negativehttp://www.reuters.com/places/chinahttps://www.reuters.com/article/us-pinduoduo-ipo/chinese-discounter-pinduoduo-aims-for-up-to-1-63-billion-in-u-s-ipo-idUSKBN1K62GB2018-07-17
WASHINGTON The former chief executive of Energy XXI Ltd agreed to settle civil charges that he failed to disclose to investors more than million in personal loans obtained from company vendors and a candidate for the companys board the U.S. Securities and Exchange Commission said Negativehttp://www.reuters.com/legal/article/us-energy-xxi-gulf-ceo-loans/former-energy-xxi-ceo-agrees-to-settle-sec-charges-idUSKBN1K628P2018-07-17
A university pension and endowment fund fired a Guggenheim Partners LLC subsidiary because of its ongoing investigation by the U.S. Securities and Exchange Commission records showed as the closely watched U.S. asset manager faces pressure to address clients concerns Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-funds-guggenheim-investors/university-of-maine-pension-fund-fires-guggenheim-over-regulatory-probe-idUSKBN1K32Z82018-07-14
WASHINGTON The U.S. Securities and Exchange Commission on Wednesday said it had filed additional charges against a second man who it said was involved in a scheme last year to orchestrate a hoax takeover bid and manipulate Fitbit Incs stock price Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-crime-fitbit/u-s-charges-second-man-in-fitbit-stock-hoax-idUSKBN1K12142018-07-12
82 million to settle related U.S. Securities and Exchange Commission civil claims Negativehttp://www.reuters.com/subjects/banks/article/us-credit-suisse-settlements/credit-suisse-pays-u-s-77-million-to-settle-asia-hiring-corruption-probes-idUSKBN1JV1XS2018-07-08
NEW YORK A threeyear U.S. Securities and Exchange Commission investigation found that Dow Chemical failed to properly disclose around million in perks for former Chief Executive Andrew Liveris ranging from personal use of company aircraft to sporting events and dues Dow paid to a charity Liveris chaired Negativehttp://www.reuters.com/subjects/middle-easthttps://www.reuters.com/article/us-dowdupont-settlement/dow-chemical-settles-sec-charges-for-failing-to-report-ex-ceos-perks-idUSKBN1JT2MI2018-07-04
8 million civil fine to settle U.S. Securities and Exchange Commission charges it failed to file suspicious activity reports on questionable transactions by 37 investment advisers Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-charles-schwab-sec/schwab-to-pay-fine-to-settle-u-s-charges-on-suspicious-trades-idUSKBN1JS27P2018-07-03
Guggenheim in April said it was cooperating with a U.S. Securities and Exchange Commission probe into an asset management unit Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-funds-guggenheim-lawsuit/guggenheim-accused-of-siphoning-annuity-units-cash-for-la-dodgers-idUSKBN1JS20A2018-07-02
The overall sense of the report is that ICOs are increasingly beginning to register with the U.S. Securities and Exchange Commission Negativehttp://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-cryptocryptocurrency-token-offerngs/digital-currency-sales-hit-13-7-billion-in-first-five-months-of-2018-report-idUSKBN1JO2XP2018-06-29
The opinion could temper any push to turn ESMA into a European counterpart of the powerful U.S. Securities and Exchange Commission Neutralhttp://www.reuters.com/subjects/euro-zonehttps://www.reuters.com/article/us-eu-regulation-legal/eu-lawyers-back-more-say-for-blocs-watchdog-over-funds-industry-idUSKBN1JM2612018-06-26
YORK Bank of America Corps Merrill Lynch unit admitted to misleading brokerage customers about which firms processed their trades and agreed to pay a million fine under a settlement with the U.S. Securities and Exchange Commission announced on Tuesday Negativehttp://www.reuters.com/legal/article/uk-bankofamerica-sec/bofas-merrill-admits-misleading-customers-to-pay-42-million-sec-fine-idUSKBN1JF2PL2018-06-20
NEW YORK The price of ether rose on Thursday after a senior official at the U.S. Securities and Exchange Commission stated that the cryptocurrency was not a security thus exempting certain transactions in the token from federal securities laws Negativehttp://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-cryptocurrencies-ether/u-s-sec-official-says-ether-not-a-security-price-surges-idUSKBN1JA30Q2018-06-15
Bloom Energy Corp a startup that makes fuel cell boxes which can power an entire building filed for an initial public offering with the U.S. Securities and Exchange Commission late on Tuesday Negativehttp://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-bloomenergy-ipo/fuel-cell-start-up-bloom-energy-files-for-ipo-idUSKBN1J90032018-06-13
Regulators around the world led by the U.S. Securities and Exchange Commission have issued rules or guidelines that are giving investors pause and delaying new offerings Negativehttp://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-crypto-currencies-sales/total-virtual-currency-sales-jump-in-2018-but-monthly-trend-slows-report-idUSKCN1J02Y62018-06-05
WASHINGTON The head of the U.S. Securities and Exchange Commission will warn of the need to boost its defenses against and cyber threats when he asks Congress on Tuesday for more funding according to prepared remarks seen by Reuters on Monday Negativehttp://www.reuters.com/politicshttps://www.reuters.com/article/us-usa-sec-clayton/sec-chair-to-stress-cyber-risk-in-congressional-budget-testimony-idUSKCN1J02QT2018-06-05
NEW YORK The New York investment adviser deVere USA Inc agreed on Monday to pay an million civil fine to settle U.S. Securities and Exchange Commission charges it failed to disclose conflicts of interest to hundreds of clients with UK pensions Negativehttp://www.reuters.com/finance/article/us-sec-devere/sec-fines-new-york-firm-devere-8-million-over-uk-pension-advice-conflicts-idUSKCN1J02O22018-06-04
NEW YORK A proposal by the U.S. Securities and Exchange Commission lower stock exchange fees and limiting the rebates exchanges pay to brokers to attract orders could cost investors more than billion dollars a year the operator of the New York Stock Exchange estimated Negativehttp://www.reuters.com/finance/markets/article/us-nyse-sec/nyse-says-u-s-sec-plan-to-limit-exchange-rebates-would-hurt-investors-idUSKCN1IX5X42018-06-02
WASHINGTON The U.S. Securities and Exchange Commission said on Tuesday it had won an emergency court order halting an alleged fraud involving an initial coin offering that raised as much as million from investors in the United States and elsewhere Negativehttp://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-sec-fraud-coin/u-s-regulator-wins-order-halting-coin-offering-scheme-idUSKCN1IU2PT2018-05-30
A second notification to the U.S. Securities and Exchange Commission was made on May 9 Hong said Negativehttp://www.reuters.com/finance/article/us-rbs-whistleblower-exclusive/exclusive-rbs-lawyers-ask-ex-staffer-to-destroy-documents-doj-informed-idUSKCN1II0PZ2018-05-17
The U.S. Securities and Exchange Commission said in a related civil case that Borland invoked his constitutional right against selfincrimination when questioned by that regulator Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-crime-borland/u-s-charges-new-york-fund-manager-with-belize-airport-scam-idUSKCN1IH2YQ2018-05-17
Tiger Management owned 25000 shares of GameStop as of March 31 according to a filing on Tuesday with the U.S. Securities and Exchange Commission Negativehttp://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-gamestop-tiger-management/hedge-fund-asks-gamestop-to-conduct-strategic-review-cnbc-idUSKCN1IH1NI2018-05-16
Chell said KODAKOnes coin offering will be legally compliant with the U.S. Securities and Exchange Commission using an instrument called the Simple Agreement for Future Tokens Negativehttp://www.reuters.com/finance/dealshttps://www.reuters.com/article/us-crypto-currencies-eastman-kodak/kodak-blockchain-project-seeks-to-raise-50-million-in-token-offering-idUSKBN1IB1J72018-05-10
Hedge funds are required by the U.S. Securities and Exchange Commission to use a qualified custodian which includes federally insured banks and registered brokerdealers once their assets exceed million Negativehttp://www.reuters.com/finance/markets/article/us-crypto-currencies-funds/lack-of-wall-st-back-office-deters-mainstream-crypto-investments-idUSKBN1I91WF2018-05-08
NEW YORK A New York federal judge on Tuesday ordered JayZ to testify on May 15 in an investigation by the U.S. Securities and Exchange Commission involving the sale of the rappers Rocawear clothing brand to Iconix Brand Group Inc Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-sec-jayz/jay-z-ordered-to-testify-next-week-in-u-s-sec-investigation-idUSKBN1I920Q2018-05-08
NEW YORK Rapper JayZ has been ordered to appear at a hearing in Manhattan federal court on Tuesday after the U.S. Securities and Exchange Commission accused him of twice defying subpoenas calling him to testify in an investigation of the sale of his Rocawear clothing line Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-sec-jayz/jay-z-accused-of-dodging-sec-subpoenas-due-in-court-idUSKBN1I920Q2018-05-08
WASHINGTON A Republican member of the U.S. Securities and Exchange Commission Michael Piwowar said on Monday that he will step down on July 7 or when his successor is sworn in whichever comes first Negativehttp://www.reuters.com/politicshttps://www.reuters.com/article/us-usa-sec-piwowar/sec-commissioner-piwowar-a-republican-to-step-down-idUSKBN1I828F2018-05-07
WASHINGTON Music mogul and businessman JayZ must explain details of the sale of his clothing line to determine whether it violated federal securities laws the U.S. Securities and Exchange Commission said on Thursday Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-sec-jayz/u-s-sec-orders-rapper-jay-z-to-testify-on-clothing-brand-sale-idUSKBN1I42722018-05-04
Canellos is a former codirector of the U.S. Securities and Exchange Commissions enforcement division Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-trump-russia-cohen/trump-lawyer-u-s-prosecutors-propose-candidates-to-review-seized-files-idUSKBN1HP2EJ2018-04-18
Canellos previously served as codirector of the U.S. Securities and Exchange Commissions enforcement division Neutralhttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-trump-russia-cohen/lawyers-for-trump-attorney-propose-candidates-to-review-seized-files-idUSKBN1HP2EJ2018-04-18
The U.S. Securities and Exchange Commision in March said it planned to test the effects of lowering stock exchange fees and rebates following widespread criticism of the current pricing system Positivehttp://www.reuters.com/finance/markets/article/us-cboe-stocks-rebates/cboe-blasts-draconian-plan-to-test-banning-stock-exchange-rebates-idUSKBN1HP2ZD2018-04-18
NEW YORK Guggenheim Partners on Sunday said it was cooperating with an investigation of its asset management subsidiary that is being conducted by the U.S. Securities and Exchange Commission Negativehttp://www.reuters.com/finance/markets/article/us-funds-guggenheim-investigation/guggenheim-cooperating-with-sec-investigation-statement-idUSKBN1HM0VI2018-04-15
The U.S. Securities and Exchange Commission declined to comment Negativehttp://www.reuters.com/finance/markets/article/funds-guggenheim-investigation/guggenheim-cooperating-with-u-s-sec-investigation-statement-idUSL1N1RS0BK2018-04-15
The U.S. Securities and Exchange Commission is looking into GEs accounting for contract assets raising investor concern but GE has said it is not overly concerned about the investigation Negativehttp://www.reuters.com/finance/article/us-ge-accounting/ge-books-4-2-billion-charge-restates-earnings-as-expected-idUSKBN1HK2UL2018-04-14
Theranos and its chief executive Elizabeth Holmes agreed to settle massive charges with the U.S. Securities and Exchange Commission last month Neutralhttp://www.reuters.com/finance/article/us-theranos-layoffs/theranos-lays-off-most-of-its-remaining-workforce-wsj-idUSKBN1HH2Z32018-04-10
WASHINGTON The U.S. Securities and Exchange Commission on Friday said it had targeted allegedly illegal stock sales involving Longfin Corp stock as well as the finance and technology companys chief executive and three other people Negativehttp://www.reuters.com/news/technologyhttps://www.reuters.com/article/us-usa-cryptocurrency-longfin/u-s-targets-longfin-ceo-over-alleged-trading-scheme-sec-idUSKCN1HD2482018-04-06
WASHINGTON The U.S. Securities and Exchange Commission said on Thursday it had charged convicted felon and former hockey team owner Peter Pocklington his medical device company his attorney and others with allegedly defrauding investors and misappropriating their funds Negativehttp://www.reuters.com/news/ushttps://www.reuters.com/article/us-usa-sec-pocklington/sec-charges-former-hockey-team-owner-pocklington-over-medical-device-idUSKCN1HC2RF2018-04-06

























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