SEC

SEC's Gallagher said to resign as commissioner

SEC's Gallagher said to resign as commissioner

Daniel Gallagher is resigning his post as a Republican member of the Securities and Exchange Commission after four years, a time marked by partisan battles over the regulatory...

May 13, 2015 | 01:55 pm
SEC's acting director of investment management gets permanent position

SEC's acting director of investment management gets permanent position

David Grim was named director of the division of investment management at the Securities and Exchange Commission, spokeswoman Judith Burns said.

May 08, 2015 | 01:11 pm
SEC approves small-cap tick pilot

SEC approves small-cap tick pilot

The Securities and Exchange Commission on Thursday gave final approval for a two-year pilot program beginning May 6, 2016, to increase the tick sizes — minimum quoting and trading increments...

May 07, 2015 | 03:44 pm
SEC proposal would require certain non-U.S. swap dealers to register in U.S.

SEC proposal would require certain non-U.S. swap dealers to register in U.S.

The SEC on Wednesday proposed requiring non-U.S. swap dealers that operate trading desks in the U.S. to register with the agency as a security-based swap dealer.

April 30, 2015 | 11:30 am
SEC approves pay-for-performance requirement for companies

SEC approves pay-for-performance requirement for companies

The Securities and Exchange Commission on Wednesday approved new pay-for-performance requirement that means companies must now disclose the relationship between executive compensation and financial...

April 29, 2015 | 03:35 pm

SEC outlines cybersecurity guidance for money managers, advisers

The SEC recommended that money managers and other registered investment advisers create a strategy to prevent, detect and respond to cybersecurity, including more internal security measures, data...

April 29, 2015 | 02:51 pm
Investor groups say SEC should require companies to disclose political spending

Investor groups say SEC should require companies to disclose political spending

Five state treasurers, including North Carolina Treasurer Janet Cowell, sole trustee of the $88.8 billion North Carolina Retirement Systems, Raleigh, are urging the SEC to require corporate political ...

April 21, 2015 | 03:49 pm

BlackRock settles SEC charges over failing to disclose conflict of interest

The SEC charged BlackRock subsidiary BlackRock Advisors on Monday with failing to disclose a conflict of interest created by the outside business activity of one of the firm’s portfolio...

April 20, 2015 | 03:43 pm
Legal challenge to SEC enforcement process heard

Legal challenge to SEC enforcement process heard

Houston hedge fund manager George Jarkesy Jr. took on the Securities and Exchange Commission Monday.

April 13, 2015 | 03:31 pm
SEC names interim compliance director

SEC names interim compliance director

Marc Wyatt was named acting director of the SEC's office of compliance inspections and examinations.

April 09, 2015 | 06:08 pm

SEC compliance chief to depart at end of April

Andrew Bowden is stepping down as director of the SEC’s office of compliance inspections and examinations, the agency announced Tuesday.

April 07, 2015 | 04:11 pm
DOL, SEC tag-teaming managers on enforcement

DOL, SEC tag-teaming managers on enforcement

Executives at money managers and other financial firms — bracing for new fiduciary standards from both the DOL and SEC — are feeling increasingly double-teamed by the agencies.

April 06, 2015
Patriarch Partners files suit to have SEC charges heard in U.S. District Court

Patriarch Partners files suit to have SEC charges heard in U.S. District Court

Patriarch Partners and CEO Lynn Tilton are fighting back against charges announced by the SEC on Monday involving three of the private equity firm's funds.

April 01, 2015 | 01:03 pm
Schapiro: Multitude of trading venues a regulatory challenge for SEC

Schapiro: Multitude of trading venues a regulatory challenge for SEC

The equity market structure with more than 70 venues for trading and 35% of trades done in dark pools represents a major regulatory challenge for the Securities and Exchange Commission, Mary Schapiro,...

March 31, 2015 | 02:26 pm

J.P. Morgan executives said to be deposed in SEC asset management probe

J.P. Morgan Chase executives have been deposed and thousands of pages of internal documents subpoenaed as part of a U.S. investigation into the bank's asset management unit, according to people...

March 31, 2015 | 03:58 pm