While the Securities and Exchange Commission awaits confirmation of new Chairman Jay Clayton, the agency's enforcement efforts will continue, although some priorities may shift, sources say.
March 03, 2017 | 03:53 pm
The first U.S. appeals court to weigh in on whether Securities and Exchange Commission administrative judges are constitutional will reconsider a decision favoring the agency.
February 17, 2017 | 03:02 pm
Acting SEC Chairman Michael Piwowar has called for reconsidering a controversial rule on CEO pay ratio disclosure.
February 07, 2017 | 12:15 pm
BlackRock, Vanguard Group, TIAA-CREF and 18 other financial firms support implementation of the Department of Labor's fiduciary rule, Sen. Elizabeth Warren, D-Mass., said Tuesday in a letter to...
February 07, 2017 | 12:26 pm
The transition in leadership at the Securities and Exchange Commission leaves the future course on numerous regulatory issues unclear, particularly as it relates to investor protection.
February 06, 2017
Marc Wyatt, director of the SEC’s office of compliance inspections and examinations, is leaving in February and returning to the private sector.
January 30, 2017 | 03:13 pm
New SEC regulations are set to impose restrictions on what assets funds can hold and in what quantities, but funds that adapt appropriately will be rewarded with lower transaction costs and higher...
January 27, 2017 | 05:00 am
The workers were charged with violations of the anti-bribery provisions of the Foreign Corrupt Practices Act in connection with an alleged bribery scheme they conducted while working for the...
January 26, 2017 | 03:38 pm
Recent settlements over market makers providing misleading information on equity trades have put institutional investors on notice that they need to take a closer look of how their trades are routed.