securities and exchange commission

Texas Attorney General Is Again Fighting Fraud Charges

The federal Securities and Exchange Commission refiled a lawsuit against Ken Paxton that a judge previously dismissed, and Mr. Paxton also faces criminal charges.
White Collar Watch: How Trump’s Presidency Will Change the Justice Dept. and S.E.C.

White Collar Watch: How Trump’s Presidency Will Change the Justice Dept. and S.E.C.

Rudolph W. Giuliani, a surrogate for Donald Trump, has been suggested as a possible appointment for attorney general.

Breakingviews: What Trump’s Victory Might Mean for Banks

Donald Trump’s appointments and some of his policies might benefit banks, but his erratic positions on other issues could mean long-term pain.
Mary Jo White to Step Down as S.E.C. Chief

Mary Jo White to Step Down as S.E.C. Chief

Mary Jo White, chairwoman of the Securities and Exchange Commission, appearing before a Senate committee in June.
JPMorgan Is Said to Settle Bribery Case Over Hiring in China

JPMorgan Is Said to Settle Bribery Case Over Hiring in China

A deal with the government in a bribery case in China would end one of the last big regulatory issues for JPMorgan Chase, which had faced scrutiny in mortgage securities and a trading scandal.

White Collar Watch: Kickback Case Questions Whether Valeant Was Victim or Participant

The case appears to be a straightforward tale of avarice, but the Justice Department may have a difficult time proving the charges.
S.E.C.’s Top Enforcer to Depart at Year-End

S.E.C.’s Top Enforcer to Depart at Year-End

Andrew J. Ceresney, director of enforcement for the Securities and Exchange Commission. “I think in many ways, we have taken an already strong enforcement program and made it stronger,” he said in an
Fair Game: Whistle-Blowers Spur Companies to Change Their Ways

Fair Game: Whistle-Blowers Spur Companies to Change Their Ways

Boxes were wheeled into court in 2002 when Arthur Andersen was charged with destroying documents in the Enron investigation. The Sarbanes-Oxley law, a reaction to cases like Enron’s, gave new
Another View: Who Benefits From Market Speed Bumps? The Exchanges

Another View: Who Benefits From Market Speed Bumps? The Exchanges

The IEX Group’s office and trading floor in downtown Manhattan. The Securities and Exchange Commission decided IEX’s 350-microsecond delay in incoming and outgoing information to the broader market
Wheels: Would-Be Carmakers Tap the Wisdom, and Dollars, of Crowds

Wheels: Would-Be Carmakers Tap the Wisdom, and Dollars, of Crowds

A prototype of the three-wheeled, gasoline-powered vehicle that Elio Motors wants to build. The company’s founder says it would get 84 miles per gallon and have a $7,300 starting price.
Wheels: Would-Be Carmakers Tap the Wisdom, and Dollars, of Crowds

Wheels: Would-Be Carmakers Tap the Wisdom, and Dollars, of Crowds

A prototype of the three-wheeled, gasoline-powered vehicle that Elio Motors wants to build. The company’s founder says it would get 84 miles per gallon and have a $7,300 starting price.
White Collar Watch: S.E.C.’s In-House Judges Face Supreme Court Scrutiny

White Collar Watch: S.E.C.’s In-House Judges Face Supreme Court Scrutiny

The New York financier Lynn Tilton, center, founder of the private equity firm Patriarch Partners, faced securities fraud charges in an S.E.C. administrative hearing.
Donald Trump Nominates Wall Street Lawyer to Head S.E.C.

Donald Trump Nominates Wall Street Lawyer to Head S.E.C.

Jay Clayton is a partner with the prominent New York law firm Sullivan & Cromwell.
Donald Trump Nominates Wall Street Lawyer to Head S.E.C.

Donald Trump Nominates Wall Street Lawyer to Head S.E.C.

Jay Clayton is a partner with the prominent New York law firm Sullivan & Cromwell.

White Collar Watch: Under New Chairman, S.E.C. Enforcer Role Might Shrink

The choice of a Wall Street deal-maker to head the agency raises questions about enforcement, Peter J. Henning writes in the White Collar Watch column.
JPMorgan Ordered to Pay Damages for Firing Whistle-Blower

JPMorgan Ordered to Pay Damages for Firing Whistle-Blower

JPMorgan Chase has been ordered to pay back wages, damages and legal fees to Johnny Burris, a former broker who was fired when he complained about the bank’s practices.
Fair Game: S.E.C. Inertia on Paybacks Adds to Investor Harm

Fair Game: S.E.C. Inertia on Paybacks Adds to Investor Harm

In August 2015, the S.E.C. struck a settlement with Citigroup over an exotic investment strategy involving municipal bonds that the bank sold to clients from 2002 to 2008.
Off the Shelf: Making Your Family Better at Personal Finance

Off the Shelf: Making Your Family Better at Personal Finance

Beth Kobliner’s latest book draws on her experience as a mother to help parents give age-appropriate financial advice to their children.
Departing SEC Chair Mary Jo White Blasts Congress on Her Way Out the Door

Departing SEC Chair Mary Jo White Blasts Congress on Her Way Out the Door

And asked the incoming administration to ensure the SEC remains independent of political pressure.