Oppenheimer retains ties with controversial private equity executive.
FORTUNE -- More than a year ago, we reported on how a private equity unit of Oppenheimer & Co. had inflated the valuation of one of its investments, in order to help market a new fund. The SEC later charged Oppenheimer with misleading investors, and the firm agreed to pay a penalty, return money to investors and be censured.
What it didn't do, however, was cut MOREDan Primack - Aug 21, 2013 11:26 AM ET
Lots of people at JPMorgan worked together to hide losses from investors and regulators. Only two of them may be going to jail.
FORTUNE -- Long live the Whale.
The most fascinating thing about the government's charge that JPMorgan Chase employees committed fraud in connection with the bank's $6 billion trading loss, and the one that will have the largest reverberations for Wall Street, is not who is being charged, but who MOREStephen Gandel, senior editor - Aug 14, 2013 3:31 PM ET
Fabrice Tourre's courtroom loss should be a reminder of just how pathetic the SEC's financial crimes record has been.Stephen Gandel, senior editor - Aug 2, 2013 9:00 AM ET
The SEC today voted to let hedge funds and others "generally solicit." What does that mean?
FORTUNE -- The Securities and Exchange Commission today voted 4-1 to end a decades-old ban on "general solicitation" by many private issuers, including hedge funds, private equity funds and start-up companies.
The recommendation to do so first appeared in the JOBS Act, a piece of bi-partisan capital markets legislation that became law in March 2012.
In short, MOREDan Primack - Jul 10, 2013 11:24 AM ET
The SEC showed up late to the social media party with its new guidance, and investors now have more questions than answers about how companies can share material information.
By Cyrus Sanati
FORTUNE -- Wall Street will need a bit more clarity on the SEC's new social media policy before anyone feels comfortable enough to hit the "like" button. While many on the Street accept that social media has become a MOREApr 4, 2013 12:29 PM ET
SEC identifies social media problem, but fails to propose adequate solution.
FORTUNE -- Netflix (NFLX) CEO Reed Hastings got into some hot water with the SEC last year for revealing what may have been material company information via his Facebook page. At the time, I argued that the Wells Notice was warranted:
Investors in publicly-traded companies should not need to crawl all corners of the Internet to discover material information. Such data should be MOREDan Primack - Apr 2, 2013 3:52 PM ET
Mary Schapiro is joining the consulting firm Promontory and says she won't lobby government officials on her clients' behalf. What will she do?
FORTUNE -- On Tuesday, the bank consulting firm Promontory Financial Group announced that it had hired Mary Schapiro, who stepped down as the head of the head of SEC four months ago.
Schapiro is a particularly high-profile hire for the firm, but she's among many there who are former MOREStephen Gandel, senior editor - Apr 2, 2013 2:51 PM ET
Hedge fund affiliates of SAC Capital will pay more than $600 million.
FORTUNE -- Regulators announced Friday that affiliates of the hedge fund SAC Capital had settled insider trading charges for more than $600 million. While the amount is stunning -- with one settlement touted by the Securities and Exchange Commission as "the largest ever in an insider trading case" -- some believe that this could actually be a positive development for MOREKatie Benner - Mar 15, 2013 5:59 PM ET
The part of Steve Rattner's JOBS act column that hasn't gotten enough attention.
FORTUNE -- Steve Rattner has been taking some heat for a recent New York Times column that was deeply critical of the JOBS Act. I actually applaud his willingness to take on this sacred cow, although my own take on the legislation is more ambivalent.
Most of the attention has been focused on Rattner's choice to equate crowd-funding with MOREDan Primack - Mar 5, 2013 5:06 PM ET
Exclusive: SEC investigators are examining Milken's relationship with Guggenheim Partners.
By Scott Cendrowski and James Bandler
FORTUNE -- The Securities and Exchange Commission is investigating the relationship between Michael Milken and Guggenheim Partners, Fortune has learned.
The federal agency is examining whether Milken, the one time king of junk bonds who agreed to a lifetime ban from the securities industry, is violating the terms of that ban in his dealings with Guggenheim, MOREFeb 27, 2013 9:57 AM ET
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