Many company 401(k) retirement savings plans could use a swift kick into the 21st century, according to a new report from the U.S. Government Accountability Office.
November 23, 2016 | 09:29 am
Stephen Luparello, director of the SEC's division of trading and markets, will leave the agency by Dec. 31.
November 22, 2016 | 11:13 am
The Commodity Futures Trading Commission received $1.29 billion in penalties from 68 enforcement actions made in the 12 months ended June 30, the agency's fiscal year, the CFTC announced Monday.
November 22, 2016 | 01:06 pm
FCA considers investment consultant probe recommendation, wants greater clarity over institutional charges
The U.K.'s Financial Conduct Authority is concerned about the investment consulting market, and wants the U.K. Treasury to consider moving consultants into the FCA's regulatory scope.
November 18, 2016 | 05:57 am
The PBGC’s single-employer insurance program’s deficit narrowed in fiscal year 2016, but the multiemployer program’s deficit got worse, the Pension Benefit Guaranty Corp. said in...
November 16, 2016 | 02:06 pm
The SEC on Tuesday approved establishing a single database for all U.S. equity and options trading.
November 16, 2016 | 11:59 am
SEC Chairwoman Mary Jo White should “resist the temptation to finalize any regulations” before she leaves in January, House Financial Services Committee Chairman Jeb Hensarling, R-Texas,...
November 15, 2016 | 01:11 pm
The rate of SEC actions against public companies outpaced other enforcement activity in the last four fiscal years, according to a report issued Tuesday by the NYU Pollack Center for Law & Business...
November 15, 2016 | 04:11 pm
Karen Morris was named chief of negotiations and restructuring for the Pension Benefit Guaranty Corp.
November 15, 2016 | 01:26 pm
There is a growing sense among investors, the public and even within government itself that the regulations protecting the markets are rigged in favor of the investment and finance industry. The...
November 14, 2016
Mary Jo White, a political independent appointed by President Barack Obama, said she will step down as Securities and Exchange Commission chair in January.
November 14, 2016 | 05:38 pm
Hedge fund managers, true to form, have been quick to assess the impact of Donald J. Trump's impending presidency on global markets and their own investment strategies.
November 09, 2016 | 12:59 pm
Dallas voters approved a ballot initiative to reform the $3.3 billion Dallas Employees' Retirement Fund, while San Jose, Calif., voters approved a referendum that restores pension benefits on Tuesday.
November 09, 2016 | 03:58 pm
Donald J. Trump's election victory combined with continued Republican control of Congress could bring a political agenda that includes regulatory reform, tax reform and increased infrastructure...
November 09, 2016 | 10:56 am
Ontario plans to make changes to the Financial Services Commission, the province's financial regulator that oversees pension plans and insurance companies.