Regulation

Outdated 401(k) rules are shortchanging Americans, GAO report says

Outdated 401(k) rules are shortchanging Americans, GAO report says

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

SEC director of trading and markets division to depart by end of the year

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
CFTC assesses $1.29 billion in fines in fiscal year

CFTC assesses $1.29 billion in fines in fiscal year

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

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
PBGC’s single-employer pension deficit narrows, but multiemployer deficit deepens

PBGC’s single-employer pension deficit narrows, but multiemployer deficit deepens

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
SEC approves creating single database for all U.S. equity and options trading

SEC approves creating single database for all U.S. equity and options trading

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 warned to avoid last-minute rulemaking before leaving in January

SEC chairwoman warned to avoid last-minute rulemaking before leaving in January

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

Public company actions up in fiscal year 2016, report says

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

PBGC picks restructuring chief

Karen Morris was named chief of negotiations and restructuring for the Pension Benefit Guaranty Corp.

November 15, 2016 | 01:26 pm
Is it time to start using body cams in regulating financial markets?

Is it time to start using body cams in regulating financial markets?

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
SEC's White says she will step aside when Obama leaves office

SEC's White says she will step aside when Obama leaves office

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 expect more deregulation under Trump

Hedge fund managers expect more deregulation under Trump

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 approve pension reform; San Jose votes to restore pension benefits

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
Trump victory seen as ushering in regulatory reform, pushing retirement policy to backburner

Trump victory seen as ushering in regulatory reform, pushing retirement policy to backburner

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 eyes changes to financial regulator

Ontario eyes changes to financial regulator

Ontario plans to make changes to the Financial Services Commission, the province's financial regulator that oversees pension plans and insurance companies.

November 09, 2016 | 01:31 pm