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U.S. Securities and Exchange Commission

US Securities and Exchange Commission says it charged California lawyer with stealing investor money in EB-5 offerings - Reuters

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U.S. Securities and Exchange Commission

SEC Chair White rejects Republican requests to delay adopting new rules until Trump takes office - Reuters

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Trump appointments and nominations

Reports: Former US Attorney Debra Wong Yang under consideration to lead Securities and Exchange Commission - Los Angeles Times, Reuters, CNBC

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Berkshire Hathaway

Berkshire Hathaway's SEC filings show company has stake in American Airlines, United Continental Holdings and Delta Air Lines; CNBC reports it also has stake in Southwest

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business

US Securities and Exchange Commission finds Sasan Sabrdaran, a former executive of pharmaceutical company InterMune, and a British restaurant owner liable for insider trading - Reuters

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Wells Fargo sales scandal

Wells Fargo says upper end of range of potential litigation losses was $1.7 billion as of end of September - MarketWatch

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Wells Fargo sales scandal

SEC probing whether Wells Fargo violated rules around investor disclosures relating to its recent sales tactics scandal, sources tell Wall Street Journal

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Ken Paxton

US Securities and Exchange Commission refiles federal fraud charges against Texas Attorney General Ken Paxton - Dallas News

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insider trading

SEC charges former Pinnacle Financial Partners board member with insider trading - Tennessean

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insider trading

Sources: SEC to demand that Leon Cooperman agree to a suspension from the hedge fund industry to resolve insider-trading case - Bloomberg News

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Artis Capital

SEC: Hedge fund Artis Capital settles charges related to insider trading - Reuters

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Wells Fargo sales scandal

Senate Banking Committee member Sen. Elizabeth Warren, D-Mass.: 'If Wells Fargo CEO John Stumpf is leaving with all of his ill-gotten millions, that's still not real accountability. A bank teller would face criminal charges & a prison sentence for stealing a handful of 20s from the cash drawer. A bank CEO should not be able to oversee a massive fraud & simply walk away to enjoy his millions in retirement.' - @SenWarren

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mergers & acquisitions

Tesla and SolarCity shareholders to vote on merger proposal on Nov. 17, according to joint SEC filing

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insider trading

Hedge-fund manager Leon Cooperman on SEC insider trading charges: 'I'm not going to let them unfairly destroy my legacy' - MarketWatch

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Texas, US

Judge dismisses SEC lawsuit that accused Texas Attorney General Ken Paxton of engaging in securities fraud during 2011 private business deals - Austin-Statesman

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Texas, US

#BREAKING: Federal judge dismisses SEC case against Texas Attorney General Ken Paxton https://t.co/p0d4fkxBOB https://t.co/rOrfKEv87M - @mySA

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U.S. Securities and Exchange Commission

SEC says oil services company Weatherford International to pay $140 million penalty for accounting fraud - Reuters

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U.S. Securities and Exchange Commission

SEC charges 3 directors of startup movie production company, including former New York Gov. David Paterson, in microcap case - MarketWatch

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insider trading

SEC charges of insider trading spark selloff in major Omega Advisors holdings - Bloomberg

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insider trading

Hedge fund manager Leon Cooperman and firm Omega Advisors say SEC charges of insider trading are 'without merit' - CNBC

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