Securities regulation

FILE - In this Jan. 2, 2014 file photo, a Fiat logo pictured on a car in Milan, Italy. Fiat Chrysler has agreed to pay $40 million to settle a complaint by securities regulators that it misled investors by overstating monthly sales numbers. (AP Photo/Antonio Calanni, File)
September 27, 2019 - 10:54 am
DETROIT (AP) — Fiat Chrysler is paying $40 million to settle with U.S. securities regulators who say the automaker misled investors by overstating its monthly sales numbers over a five-year period. The Italian-American company inflated sales by paying dealers to report fake numbers from 2012 to...
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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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September 10, 2019 - 12:26 pm
NEW YORK (AP) — Seven states and the District of Columbia have sued the Securities and Exchange Commission, saying the regulatory agency is putting investors in jeopardy by relaxing rules designed to ensure that securities brokers keep the interests of their customers ahead of their own. The...
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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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August 15, 2019 - 9:13 am
MEXICO CITY (AP) — Mexico's Supreme Court has ordered the country's Health Department to set regulations complying with a law allowing medical use of marijuana and derivatives. The law took effect in June 2017 but has yet to be put into practice. The high court says in a statement that the Health...
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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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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 - 10:25 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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FILE - In this Feb. 6, 2018, file photo, a woman walks through the front doors at a Fidelity Investments office on Congress Street as the ticker displays stock market numbers in Boston. Federal regulators are moving to require that brokers provide their customers with detailed disclosures of their potential conflicts of interest when dispensing advice for retirement planning and other investments. (AP Photo/Stephan Savoia, File)
June 05, 2019 - 11:05 am
WASHINGTON (AP) — Stockbrokers will have to divulge their potential conflicts of interest to clients when they give them investment advice under action taken Wednesday by federal regulators. The regulation adopted by the Securities and Exchange Commission will also require brokerages to eliminate...
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