SEC

SEC seeks public comment on fiduciary rule impact

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SEC Chairman Jay Clayton says his agency wants input on how the fiduciary rule will impact retail investors and entities regulated by the agency.
Supreme Court rejects Tilton, Patriarch Partners challenge to SEC judges

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The Supreme Court on Tuesday rejected a petition to challenge the constitutionality of the SEC's in-house administrative law judges.
SEC in-house judges challenged in D.C. appeals court that upheld them

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The first appellate court to uphold SEC in-house courts revisited the issue Wednesday before a 10-judge panel.
Leon Cooperman gets SEC waiver to keep raising money for hedge fund

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Billionaire hedge fund manager Leon Cooperman received permission from U.S. regulators to keep raising money from outside investors.
Cooperman, Omega Advisors to pay $5 million in SEC settlement

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Leon G. Cooperman and hedge fund firm Omega Advisors reach a settlement with the government over charges of insider trading and reporting violations.
Crapo calls for 'bipartisan, common-sense' reform of financial regulations

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Reducing federal financial regulations is the top priority for the Senate Banking Committee, its leader said on Wednesday.
 A dream of the '90s lives on: What GSTPA teaches us about blockchain

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The idea of fully automated trade processing has awoken from its long slumber with the emergence of distributed ledger solutions such as blockchain.