Robert M. Fisher was named managing executive of the Securities and Exchange Commission’s office of compliance inspections and examinations.
March 08, 2016 | 04:00 pm
Visium Asset Management is being investigated by the U.S. Department of Justice and the Securities and Exchange Commission.
March 07, 2016 | 03:36 pm
The Department of Labor's process for developing a new fiduciary standard was flawed by interagency conflict, said a report released Wednesday by the Senate Homeland Security and Governmental Affairs ...
February 24, 2016 | 04:17 pm
A group of investors co-led by the New York State Common Retirement Fund appealed to the Securities and Exchange Commission to reject Exxon Mobil Corp.'s plan to exclude a shareholder proposal on the ...
February 24, 2016 | 03:41 pm
An agreement between U.S. and European Union regulators to settle the issue of equivalency between derivatives clearinghouses in the U.S. and Europe averted what sources said could have meant higher...
February 22, 2016
The Securities and Exchange Commission will spend 2016 focusing on asset management and equity market structure, plus ways to “go beyond disclosure,” Chairwoman Mary Jo White told a...
February 19, 2016 | 03:16 pm
While a reassessment of risk is clearly underway in 2016, it sits squarely on the list of regulatory priorities as well. Exchange-traded funds, specifically, and within the framework of the...
February 11, 2016 | 01:54 pm
President Barack Obama called for doubling the budgets of financial regulators over the next five years in his fiscal year 2017 budget released Tuesday.
February 09, 2016 | 03:31 pm
Proposed SEC regulations that would require mutual funds to have a minimum cash cushion and liquidity risk management programs in place could have a broad impact on retirement plans, sources said.
February 08, 2016
Diamondback Capital Management will get back $9 million that it paid in January 2012 to settle insider-trading charges brought by the Securities and Exchange Commission.
February 03, 2016 | 03:48 pm
Credit Suisse Securities and Barclays Capital will pay a combined $154.3 million to settle SEC and New York state charges that they misled clients who traded on the firms' dark pools.
February 01, 2016 | 10:46 am
SEC officials agreed to a request by Connecticut hedge fund Level Global Investors LP to refund a $21.5 million settlement following the dismissal of insider-trading charges.
January 26, 2016 | 04:02 pm
As the Department of Labor sifts through comments on a proposal to allow states to set up their own retirement savings programs for some private-sector workers, the action now shifts to the states...
January 25, 2016
Last year's busy regulatory agenda for money managers is likely to be eclipsed in 2016, as multiple regulators focus on shared priorities including cybersecurity and money laundering.
January 25, 2016
Proposed SEC regulations to require more transparency for dark pools and other alternative trading systems, if approved, could lead to contraction in the now-fragmented equity trading landscape.