Securities regulation

FILE - In this July 11, 2012, file photo, John Arensmeyer, CEO of the advocacy group Small Business Majority, poses for a portrait at the Small Business Majority office in Washington. The Setting Every Community Up for Retirement Enhancement Act, known as the SECURE Act, won final congressional approval in the Senate last month and was signed into law by President Donald Trump. One of the bill's features makes it easier for small businesses to band together to offer 401(k) and other retirement plans.“ Most small businesses simply don’t have the funds or staff to offer and manage retirement plans,” said Arensmeyer. (AP Photo/Jacquelyn Martin, File)
January 06, 2020 - 12:24 pm
NEW YORK (AP) — A new law expanding retirement plan options for small businesses may encourage more companies to offer the benefits to their workers. The Setting Every Community Up for Retirement Enhancement Act, known as the SECURE Act, won final congressional approval in the Senate last month and...
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FILE - In this Dec. 2, 2019, file photo, Nissan Chief Executive Makoto Uchida speaks during a press conference at the automaker's headquarters in Yokohama, near Tokyo. Japanese securities regulators are recommending that automaker Nissan be fined 2.4 billion yen ($22 million) for the under-reporting of compensation of its former chairman, Carlos Ghosn. The Securities and Exchange Surveillance Commission said Tuesday, Dec. 10, 2019, it made the recommendation to the government's Financial Services Agency. (AP Photo/Eugene Hoshiko, File)
December 10, 2019 - 4:26 am
TOKYO (AP) — Japanese securities regulators are recommending that automaker Nissan be fined 2.4 billion yen ($22 million) for under-reporting compensation for its former chairman, Carlos Ghosn. The watchdog, the Securities and Exchange Surveillance Commission, said Tuesday it made the...
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Perry Santillo walks outside the federal courthouse in Scranton, Pa., Monday, Nov. 4, 2019, after pleading guilty to a federal fraud charge. Prosecutors say Santillo masterminded a Ponzi scheme that took in more than $115 million from investors around the country. (AP Photo/Michael Rubinkam)
November 04, 2019 - 2:31 pm
SCRANTON, Pa. (AP) — The fraudster called himself "King Perry," and for a while he lived like royalty. Perry Santillo masterminded a long-running investment scam that collected more than $115 million from 1,000 investors around the country, using some of the proceeds to fund a lavish lifestyle of...
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November 01, 2019 - 12:47 pm
WASHINGTON (AP) — The Supreme Court will consider taking away an important tool that federal securities regulators used last year to recoup $2.5 billion in ill-gotten gains in fraud cases. The justices said Friday they will hear an appeal contending that the Securities and Exchange Commission lacks...
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FILE - In this Tuesday, Aug. 25, 2015 file photo, Financial information is displayed on screens and a ticker inside the London Stock Exchange in the City of London. The London Stock Exchange is rejecting an unsolicited takeover bid from its Hong Kong counterpart, citing “fundamental concerns” about the offer. The London Stock Exchange said Friday, Sept. 13, 2019 that it sees “no merit” in going forward with the offer because of the concerns. (AP Photo/Matt Dunham, file)
September 13, 2019 - 7:07 am
LONDON (AP) — The London Stock Exchange on Friday rejected an unsolicited takeover bid from its Hong Kong counterpart, citing "fundamental concerns" about the offer. The London Stock Exchange Group said strategic and regulatory problems were among the reasons it turned down the unexpected proposal...
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A man looks at an electronic stock board showing Japan's Nikkei 225 index and New York Dow Jones index at a securities firm in Tokyo Wednesday, Sept. 4, 2019. Asian stock markets rose Wednesday following surprise weakness in U.S. manufacturing and wrangling in Britain over the country’s departure from the European Union. (AP Photo/Eugene Hoshiko)
September 04, 2019 - 3:37 am
BEIJING (AP) — Hong Kong stocks surged Wednesday as the government withdrew a proposed extradition law that sparked three months of protests in the Chinese territory. Hong Kong's benchmark Hang Seng index jumped 3.9% on news of plans for the withdrawal, which Chief Executive Carrie Lam confirmed...
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FILE - In this June 26, 2018, file photo the General Electric logo appears above a trading post on the floor of the New York Stock Exchange. General Electric’s stock is tanking after a report which claims the company has been misleading investors. Investigator Harry Markopolos accused GE Thursday, Aug. 15, of engaging in accounting fraud worth $38 billion. He said GE is heading for bankruptcy and is hiding $29 billion in long-term care losses. (AP Photo/Richard Drew, File)
August 15, 2019 - 1:17 pm
NEW YORK (AP) — A whistleblower who warned regulators about Bernard Madoff's Ponzi scheme is now accusing General Electric of misleading investors, sending the company's stock on a downward spiral. Investigator Harry Markopolos accused GE on Thursday of engaging in accounting fraud worth $38...
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In this June 13, 2019, photo released by Xinhua News Agency, guests, from left, Yi Huiman, chairman of China Securities Regulatory Commission, Liu He, vice premier, Li Qiang, top party official of Shanghai, and Ying Yong, Shanghai's mayor, celebrate the launch of the SSE STAR Market, previously referred to as the Shanghai science and technology innovation board in Shanghai. Trading is expected to start Monday, July 22, 2019 on the Chinese stock market for high-tech companies that play a key role in official development plans that are straining relations with Washington. (Fang Zhe/Xinhua via AP)
July 20, 2019 - 5:45 pm
BEIJING (AP) — Trading starts Monday on a Chinese stock market for high-tech companies that play a key role in official development plans that are straining relations with Washington. Regulators have approved 25 companies in information technology and other fields seen by communist leaders as a...
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Senate Armed Services Committee member Sen. Elizabeth Warren, D-Mass., questions Secretary of the Army and Secretary of Defense nominee Mark Esper during his confirmation hearing on Capitol Hill in Washington, Tuesday, July 16, 2019. (AP Photo/Manuel Balce Ceneta)
July 18, 2019 - 6:15 am
WASHINGTON (AP) — White House hopeful Elizabeth Warren is proposing new regulations on the private equity industry, pitching constraints designed to end what she decries as "legalized looting" by investment firms that take over troubled companies. Warren's plan, the latest in a series of policy...
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In this June 13, 2019, photo released by Xinhua News Agency, guests, from left, Yi Huiman, chairman of China Securities Regulatory Commission, Liu He, vice premier, Li Qiang, top party official of Shanghai, and Ying Yong, Shanghai's mayor, celebrate the launch of the SSE STAR Market, previously referred to as the Shanghai science and technology innovation board in Shanghai. Trading is expected to start Monday, July 22, 2019 on the Chinese stock market for high-tech companies that play a key role in official development plans that are straining relations with Washington. (Fang Zhe/Xinhua via AP)
July 17, 2019 - 10:38 pm
BEIJING (AP) — Trading starts Monday on a Chinese stock market for high-tech companies that play a key role in official development plans that are straining relations with Washington. Regulators have approved 25 companies in information technology and other fields seen by communist leaders as a...
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