SEC

Senators call for inquiry into Carl Icahn's renewable energy credit moves

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Eight Democratic senators call on federal regulators to investigate Carl Icahn for possible insider trading related to renewable energy credits.
3M discloses DOL investigation over pension plan investments, distributions

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3M Co. is under investigation by the Labor Department over certain investments, loans and distributions made by its $14.1 billion pension plan.
House Financial Services Committee approves Dodd-Frank replacement bill

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A replacement for much of the Dodd-Frank Wall Street Reform and Consumer Protection Act was passed by the House Financial Services Committee on Thursday.
SEC denied administrative law judge process rehearing in appeals court

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The Securities and Exchange Commission lost its bid Wednesday to have the 10th U.S. Circuit Court of Appeals in Denver reconsider a Dec. 29 decision that its administrative law judge hiring process...
Congress sends omnibus spending deal to president

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Congress approved a $1.1 trillion omnibus spending bill to keep the federal government running through Sept. 30.
Senate confirms Jay Clayton as SEC chairman

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Jay Clayton is approved Tuesday by the Senate to serve as chairman of the Securities and Exchange Commission.
Institutions at odds with retail over SEC's Order Protection Rule

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Many traders think the Order Protection Rule should go, but some see value in directing trades to exchanges based on the best price.
CHOICE Act hearing to replace Dodd-Frank draws battle lines

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A divided House Financial Services Committee debates the pros and cons of a GOP proposal to replace much of the Dodd-Frank Act, which the House may vote on May 5.
Atlanta Firefighters sues Arconic alleging false information in 8-K

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Atlanta Firefighters' Pension Fund files a lawsuit against Arconic Inc., New York, claiming the firm published false information in an 8-K filing with the SEC to frighten shareholders from electing...
As DOL fiduciary rule stalls, acting SEC chairman seeks to have agency step in

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Securities and Exchange Commission Acting Chairman Michael Piwowar says the agency should take the lead in setting investment advice standards, a position he says is more likely with President Donald ...
Dodd-Frank replacement bill to be weighed as lawmakers reconvene

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A Republican proposal to replace much of the Dodd-Frank Wall Street Reform and Consumer Protection Act will be unveiled when Congress returns April 24.
Supreme Court considers statute of limitations question on SEC disgorgement

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The Supreme Court hears arguments over whether the SEC has a time limit for seeking disgorgement, in a case brought by New Mexico investment adviser Charles Kokesh.
SEC said to purge contractors as budget fight looms

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Facing possible budget cuts under President Donald Trump, the Securities and Exchange Commission is eliminating dozens of contractors hired to help root out Wall Street fraud, said two people with...
Jay Clayton gets OK from Senate panel to be SEC chairman

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Jay Clayton's nomination as chairman of the Securities and Exchange Commission was approved Tuesday by the Senate Committee on Banking, Housing and Urban Affairs.
Retirement advocates form coalition to gear up for tax reform

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As Congress begins to tackle tax reform, a coalition of business and benefit advocates formed to protect the tax advantages of retirement savings.