Securities and Exchange Commission

News and Articles About Securities and Exchange Commission

Jack Ma: Lawsuits and Probes Help Alibaba To Be Better Understood
Alibaba

Jack Ma: Lawsuits and Probes Help Alibaba To Be Better Understood

Questions about Alibaba's growth rate and its relations with affiliated companies have dogged the firm for years.
Lending Club Under Probe by U.S. Justice Dept, Receives Subpoena
Legal

Lending Club Under Probe by U.S. Justice Dept, Receives Subpoena

Monday's filing indicated that Lending Club had repurchased an additional $3.8 million in loans during the first quarter that did not meet investor criteria.
Lending Club's CEO Resigns After Internal Probe, Shares Plummet
investigation

Lending Club's CEO Resigns After Internal Probe, Shares Plummet

Three senior managers have also resigned or were fired in connection with the internal probe, the company said.
Blood-Testing Firm Theranos Under Investigation by Federal Prosecutors, SEC
Theranos

Blood-Testing Firm Theranos Under Investigation by Federal Prosecutors, SEC

The FDA, two state departments of health and The Centers for Medicare and Medicaid have also opened probes against the company.
The SEC Is Itching to Stretch Its Reach Into Venture Deals
Regulations

The SEC Is Itching to Stretch Its Reach Into Venture Deals

Unicorns are a problem for the SEC, and that's a big headache for Silicon Valley and the startup world.
Ray Hennessey
4 Things You Need to Know if You Hope to Raise $50 Million With a Regulation A+ Mini-IPO
Equity Crowdfunding

4 Things You Need to Know if You Hope to Raise $50 Million With a Regulation A+ Mini-IPO

Not surprisingly, few small businesses were ready for the requirement of the new law. Many are still trying to get these records in order and audits completed.
Kendall Almerico
Why the Recently Passed Law Allowing Mini IPOs May Not Benefit Your Business
Funding

Why the Recently Passed Law Allowing Mini IPOs May Not Benefit Your Business

The potential to raise $50 million from the 'crowd' is huge, but the costs in cash and time are high.
Kendall Almerico
Apple's Tim Cook Made a Rookie Mistake and Might Face SEC Sanctions
Regulations

Apple's Tim Cook Made a Rookie Mistake and Might Face SEC Sanctions

The CEO of Apple, which is notoriously tight-lipped, selectively released information about his company's performance. That's not good.
Ray Hennessey
Crowdfunding Is More Like 'Crowd-Frauding'
Crowdfunding

Crowdfunding Is More Like 'Crowd-Frauding'

As crowdfunding becomes more popular, there is a risk that most people will lose money in the rush.
Vin Gupta
SEC Delays Equity Crowdfunding Piece of JOBS Act for Another Year
Equity Crowdfunding

SEC Delays Equity Crowdfunding Piece of JOBS Act for Another Year

Provision would allow entrepreneurs and small businesses to raise funds from the general public.
Kendall Almerico
Will Equity Crowdfunding Laws Be the Death of Kickstarter?
Finance

Will Equity Crowdfunding Laws Be the Death of Kickstarter?

The JOBS Act and the proposed SEC rules really has nothing to do with the popular funding site. So what exactly is it?
Kendall Almerico