U.S. Securities and Exchange Commission

SEC Seeks Comments on Mom-and-Pop Access to Hedge Funds

The U.S. Securities and Exchange Commission (SEC) on Tuesday issued a request for comment on a concept release document that the agency says is intended to "simplify, harmonize, and improve ...
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FINRA Brings Additional Rules to Protect Investors Against Troubled Brokers

Brokerage firms with a history of misconduct or that employ a high number of brokers and advisors with red flags may about to face even more regulatory scrutiny. FINRA has ...
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Nokia Defends Itself to Show Alcatel-Lucent Woes Not Material

Shares of Nokia Corp. (NYSE: NOK) took it on the chin after the Finnish (and French) mobile and communications equipment maker warned of compliance issues at its Alcatel-Lucent business in ...
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How Kraft Heinz Just Destroyed Shareholders (and Maybe Its Future)

Kraft Heinz Co. (NASDAQ: KHC) is feeling the hurt on Friday after releasing earnings, announcing a probe by federal regulators and writing down a couple of its major brands. This ...
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Johnson & Johnson Faces More Overhang From Talc and Asbestos Woes

Johnson & Johnson (NYSE: JNJ) remains a top member of the Dow Jones industrial average and a company that keeps raising its dividend year after year. And the company still ...
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Opko Settles Fraud Charges With SEC: Good News for Investors?

Opko Health Inc. (NASDAQ: OPK) shares shot up on Friday after the firm announced that it has settled with the U.S. Securities and Exchange Commission (SEC). Both parties have agreed ...
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With Shares Now Under $1, Will Blue Apron Be Kicked Off the NYSE?

Some investors love the world of low-priced stocks. Others avoid them like the plague. In the world of low-priced shares, the category of "penny stocks" is one that can be ...
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SEC Settles Up With Big Celebrities Over Promoting Crypto

The U.S. Securities and Exchange Commission (SEC) recently announced that it has settled charges against professional boxer Floyd Mayweather Jr. and music producer Khaled Khaled, known as DJ Khaled, for ...
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SEC Settles Charges With the ‘Frack Master’

The U.S. Securities and Exchange Commission (SEC) recently announced that it has agreed to a settlement with Christopher A. Faulkner, the self-proclaimed “Frack Master,” in connection with his wide-ranging securities-fraud ...
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The Ongoing Tesla Saga: Elon Musk’s Stake and Tweets

The ongoing Tesla Inc. (NASDAQ: TSLA) saga keeps offering new twists and turns for both the company and its shareholders. The good news is that founding CEO Elon Musk has ...
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6 Most Important Things in Business Today

Elon Musk has attacked the U.S. Securities and Exchange Commission (SEC) in a new tweet. According to The Wall Street Journal: Elon Musk risked reigniting a battle with federal securities ...
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6 Most Important Things in Business Today

The government has filed charges against Tesla Inc. (NASDAQ: TSLA) CEO Elon Musk that could cost him his job. According to Reuters: The U.S. Securities and Exchange Commission accused Tesla ...
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Musk Hit With SEC Suit, Tesla Shares Collapse

The U.S. Securities and Exchange Commission (SEC) has announced charges against Tesla Inc. (NASDAQ: TSLA) CEO Elon Musk, alleging fraud when he said he might take the company private and ...
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Clovis Finally Faces the Music for Fraudulent Lung Cancer Drug Results

Clovis Oncology Inc. (NASDAQ: CLVS) shares might not be showing it now, but the company is facing some heat from the U.S. Securities and Exchange Commission (SEC). The company, its ...
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Could SEC Ban Elon Musk as Tesla CEO?

Among the harshest penalties the U.S. Securities and Exchange Commission (SEC) levies against executives who break federal law is to ban them from being a corporate officer or director of ...
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