SEC

SEC, Kansas settle over state’s pension fund disclosure in bond offerings

SEC, Kansas settle over state’s pension fund disclosure in bond offerings

The state of Kansas reached a settlement with the Securities and Exchange Commission Monday

August 11, 2014 | 03:32 pm

Ex-CEO of ConvergEx Global Markets faces Justice, SEC charges

Anthony G. Blumberg, former CEO of ConvergEx Global Markets, a now-shuttered broker-dealer subsidiary of ConvergEx Group, was charged by the Justice Department and the SEC with concealing fees to buy ...

August 07, 2014 | 05:12 pm
Adding reality to valuations

Adding reality to valuations

The Securities and Exchange Commission made the right decision in exempting defined contribution plans — but not defined benefit plans, foundations, endowments and other asset owners —...

August 04, 2014
SEC eyes adopting CEO pay ratio rules

SEC eyes adopting CEO pay ratio rules

The Securities and Exchange Commission is slated to adopt in October its final rules on implementing a proposed CEO pay ratio, said Laura D. Richman, counsel at Mayer Brown LLP, in a teleconference...

August 01, 2014 | 03:25 pm

Chamber of Commerce wants simplified corporate disclosures

The Securities and Exchange Commission should simplify corporate disclosure to make filings more useful to investors, including doing away with a requirement to show the company’s stock...

July 29, 2014 | 03:33 pm
Citigroup alternative trading system settles with SEC

Citigroup alternative trading system settles with SEC

Citigroup Global Markets' LavaFlow alternative trading system will pay $5 million — $2.85 million in penalties and the remainder in refunds to clients including money managers — to settle ...

July 25, 2014 | 03:54 pm
Morgan Stanley settles RMBS case with SEC

Morgan Stanley settles RMBS case with SEC

Morgan Stanley will pay $275 million to settle charges brought by the Securities and Exchange Commission alleging inadequate investor disclosure in two residential mortgage-backed securities...

July 24, 2014 | 03:28 pm

SEC approves money market reforms for institutional funds

Institutional prime money market funds will have several new tools for preventing runs, under new rules approved Wednesday by the Securities and Exchange Commission.

July 23, 2014 | 03:43 pm
CFTC commissioner resigning

CFTC commissioner resigning

Scott O'Malia is resigning as a CFTC commissioner effective Aug. 8.

July 22, 2014 | 01:41 pm
SEC investigating hedge funds in House committee insider-trading probe

SEC investigating hedge funds in House committee insider-trading probe

Some of the country’s largest hedge funds are being investigated by the SEC as part of an insider-trading probe.

July 17, 2014 | 05:41 pm
SEC money market rules vote set for July 23

SEC money market rules vote set for July 23

Much-anticipated reforms for money market funds from the Securities and Exchange Commission will be decided at an open meeting July 23 in Washington.

July 17, 2014 | 02:59 pm
First SEC case on pay-to-play sends a message

First SEC case on pay-to-play sends a message

The first enforcement case brought under the SEC's pay-to-play rules has increased awareness of the extent of the regulations, and their impact on managers and investors.

July 07, 2014
SEC files Wells notice against BlackRock

SEC files Wells notice against BlackRock

The Securities and Exchange Commission is recommending that action be taken against BlackRock subsidiary BlackRock Advisors, an 8-K filing from BlackRock on Friday said.

June 27, 2014 | 05:07 pm
SEC expands its cross-border swaps rules

SEC expands its cross-border swaps rules

The SEC on Wednesday voted to extend its cross-border securities-based swap rules to include transactions executed by foreign divisions of U.S. banks when an affiliate’s trades are legally...

June 25, 2014 | 03:43 pm
Transparency could guide SEC trading agenda

Transparency could guide SEC trading agenda

Increasing the transparency of prices and potential conflicts of interest in institutional trades in dark pools and automated trading systems will drive the SEC's policy agenda for the next several...

June 23, 2014