Tag: SEC

Mary Schapiro, Securities and Exchange Commission (SEC) chairman, told the Senate Appropriations Committee’s Subcommittee on Financial Services and General Government today that she has asked the SEC staff...

Eight (mostly) former employees of Fidelity Investments have reached preliminary settlements with the U.S. Securities and Exchange Commission (SEC) in a gift-taking probe, according to Reuters, citing court...

Advertising prohibitions can snare the unwary