Wall St regulators probing brokerages: report
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Securities regulators are probing  several brokerage firms dealing with collateralized mortgage  obligations, the Wall Street Journal reported on Friday.
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U.S. regulators have begun a formal probe into stock option practices at Activision Inc. , the No. 2 U.S. video game publisher, according to a company filing.
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U.S. regulators have begun a formal  probe into stock option practices at Activision Inc. ,  the No. 2 U.S. video game publisher, according to a company  filing.
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U.S. tax authorities are seeking information from two U.S. banks to determine whether complex derivatives trades they undertook for clients, including hedge funds, were designed primarily to avoid taxes, the Wall Street Journal reported in its online edition on Thursday.
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The US stock market regulator is investigating troubled insurance broker Marsh &amp; McLennan&#39;s shareholder transactions, the firm has said.
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U.S. regulators are looking into  whether Wall Street firms are providing insider information on  upcoming offerings, either on purpose or inadvertently, the  Wall Street Journal reported on Thursday.
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The Securities and Exchange Commission may require brokers to obtain the best prices for their clients' stock trades, a practice now followed only by the New York Stock Exchange, people familiar with the matter said yesterday.
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Jefferies Group Inc. , a New York-based brokerage, is under investigation by the US Securities and Exchange Commission as part of a probe into whether brokers doled out gifts to mutual fund executives to win trading business, people familiar with the matter said.
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The U.S. Justice Department is investigating possible antitrust violations at the Chicago Board Options Exchange and the American Stock Exchange, according to the National Association of Securities Dealers annual report.
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US regulators launch an inquiry into whether Wall Street's top brokers adopted trading practices which left clients out of pocket.
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The U.S. Securities and Exchange  Commission is investigating Dow Jones & Co. Inc. board member  David Li over an insider trading case linked to News Corp.&#39;s  bid for the Wall Street Journal publisher, Dow Jones reported  on Wednesday.
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Securities regulators are opening up yet another front in their long-running investigation of the mutual fund industry, examining brokerage firms that allegedly gave mutual fund employees lavish gifts in exchange for business, officials said yesterday.
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Morningstar Inc., a US research firm used by 3 million investors to decide what mutual funds to buy, said the Securities and Exchange Commission is investigating the company for publishing incorrect performance data for a fund.
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The U.S. Securities and Exchange Commission is probing whether two Dow Chemical Co.  executives engaged in unauthorized talks to sell the company, according to a source close to the matter.
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The Securities and Exchange  Commission aims to increase the transparency of Wall Street's  disclosures and has more than 3 dozen investigations underway  amid the fallout from the subprime mortgage crisis, Chairman  Christopher Cox said on Thursday.
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Marsh &amp; McLennan, the world&#39;s biggest insurance broker, last night disclosed that regulators had launched an investigation into transactions involving its directors.
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Wall Street is reportedly under investigation again for allegedly anti-competitive practices that regulators believe might put small investors at a disadvantage.