The state of Kansas reached a settlement with the Securities and Exchange Commission Monday
August 11, 2014 | 03:32 pm
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
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
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
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 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 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
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
Scott O'Malia is resigning as a CFTC commissioner effective Aug. 8.
July 22, 2014 | 01:41 pm
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
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
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
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
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
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...