The Securities and Exchange Commission had accused the billionaire investor of not disclosing that he had pledged personal stock holdings as collateral for billions of dollars in loans.
Category: Securities and Exchange Commission
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Why You Should Be Taking a Hard Look at Your Investments Right Now
After big gains in stocks and mediocre returns for bonds, investors are taking on undue risk if they don’t rebalance their holdings, our columnist says.
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Supreme Court Rejects S.E.C.’s Administrative Tribunals
Such tribunals, common in executive agencies, hear enforcement actions without juries, a practice that challengers said violated the Constitution.
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William H. Donaldson, 93, Wall St. Powerbroker Who Led the S.E.C., Dies
He co-founded D.L.J., the first securities firm to offer shares to the public. As S.E.C. chairman, he pressed for a stronger watchdog role after a series of accounting scandals.
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How Crypto Money Is Poised to Influence the Election
The industry’s political awakening — and enormous pool of cash — is already affecting high-profile races across the country.
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Court Strikes Down S.E.C.’s Fee Disclosure Rule for Funds
Private equity and hedge funds had appealed the regulator’s August ruling requiring them to disclose their fees and expenses to investors.
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Ether Cryptocurrency ETFs Are Approved by the SEC
The Securities and Exchange Commission gave its blessing to a fund that tracks the price of the most valuable cryptocurrency after Bitcoin.
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Bill Hwang, Whose Firm Archegos Collapsed in 2021, Is About to Go on Trial
The hedge fund is accused of borrowing money from banks to buy stocks.
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Auditor That Works for Trump Media Charged With Fraud
Regulators said BF Borgers failed to abide by accounting rules that its public company clients are required to follow.
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In Silicon Valley, You Can Be Worth Billions and It’s Not Enough
Andreas Bechtolsheim, the first investor in Google, has an estimated $16 billion fortune. He recently settled charges that he engaged in insider trading for a profit of $415,726.