/tags/security-and-exchange-commission-sec Security and Exchange Commission (SEC) en-US Copyright »Ê¹ÚÍøÖ·/Community Radio for Northern Colorado 2020 Tue, 26 Nov 2013 07:57:00 GMT /npr-news/2013-11-26/small-firms-may-soon-turn-to-crowdfunding-to-sell-shares Crowdfunding is popular among musicians, filmmakers and artists looking for a way to finance their next project. Now the Securities and Exchange Commission is considering rules that would allow small companies to solicit investments over the Internet and sell shares to the public. Tue, 26 Nov 2013 07:57:00 GMT /npr-news/2013-11-26/small-firms-may-soon-turn-to-crowdfunding-to-sell-shares Yuki Noguchi /npr-news/2013-09-19/whale-of-a-fine-jpmorgan-chase-to-pay-920m-in-penalties Traders in JPMorgan's London offices racked up huge losses last year and then tried to cover up what happened. Now, the bank is admitting the violations and agreeing to pay nearly $1 billion to regulators in the U.S. and U.K. Thu, 19 Sep 2013 13:37:00 GMT /npr-news/2013-09-19/whale-of-a-fine-jpmorgan-chase-to-pay-920m-in-penalties Mark Memmott /2013-09-18/proposed-rule-would-make-companies-disclose-ceo-to-worker-pay-ratio The regulation, part of the 2010 Dodd-Frank Wall Street reform law, is one of two measures of the act that the SEC has yet to implement. Wed, 18 Sep 2013 15:20:00 GMT /2013-09-18/proposed-rule-would-make-companies-disclose-ceo-to-worker-pay-ratio Scott Neuman /npr-news/2013-09-16/jpmorgan-to-get-whale-of-a-fine-for-trading-losses The fine is reportedly said to be at least $700 million for what authorities say were massive derivative bets made without adequate risk controls in place. The case became known as the "London Whale" owing to the size of the trades made. Mon, 16 Sep 2013 23:24:00 GMT /npr-news/2013-09-16/jpmorgan-to-get-whale-of-a-fine-for-trading-losses Steve Mullis, Jim Zarroli /npr-news/2013-08-18/u-s-investigators-launch-probe-of-jpmorgan-chase-in-china The Securities and Exchange Commission has launched an investigation of JPMorgan Chase's operations in China, reportedly looking into whether the investment bank hired the children of high-ranking Chinese government officials in an effort to secure business. Sun, 18 Aug 2013 20:24:00 GMT /npr-news/2013-08-18/u-s-investigators-launch-probe-of-jpmorgan-chase-in-china Scott Neuman /npr-news/2013-07-26/hedge-fund-sac-capital-pleads-not-guilty-to-fraud-charges The government says it has "voluminous" evidence to prove the firm knowingly participated in insider trading over a 10-year period. Fri, 26 Jul 2013 19:39:00 GMT /npr-news/2013-07-26/hedge-fund-sac-capital-pleads-not-guilty-to-fraud-charges Scott Neuman /npr-news/2013-07-25/feds-charge-sac-capital-in-insider-trading-case But billionaire hedge fund owner Steven Cohen was not hit with criminal charges. SAC is charged with one count of wire fraud and four counts of securities fraud in connection with alleged insider trading by "numerous employees." Thu, 25 Jul 2013 14:34:00 GMT /npr-news/2013-07-25/feds-charge-sac-capital-in-insider-trading-case Scott Neuman /npr-news/2013-07-19/sec-charges-hedge-fund-billionaire-steven-cohen The 57-year-old founder and head of SAC Capital Advisors is accused of allowing senior employees to make trades based on inside information. Fri, 19 Jul 2013 22:04:00 GMT /npr-news/2013-07-19/sec-charges-hedge-fund-billionaire-steven-cohen Scott Neuman /business/2013-07-18/repeal-of-depression-era-ban-could-benefit-colorado-businesses The news that federal regulators have repealed an 80-year ban on advertising of private stock offerings has gotten a lot of attention in Boulder business… Thu, 18 Jul 2013 11:30:00 GMT /business/2013-07-18/repeal-of-depression-era-ban-could-benefit-colorado-businesses Erin O'Toole, Chris Wood /npr-news/2013-05-29/nasdaq-agrees-to-10m-penalty-for-handling-of-facebook-ipo The social media giant's debut on Wall Street one year ago ran into problems. Trades were delayed and some investors lost money. The Securities and Exchange Commission blames NASDAQ's "poor systems and decision-making." Wed, 29 May 2013 17:34:00 GMT /npr-news/2013-05-29/nasdaq-agrees-to-10m-penalty-for-handling-of-facebook-ipo Mark Memmott