SEC

Dodd-Frank ‘backfired,’ SEC commissioner says

Dodd-Frank ‘backfired,’ SEC commissioner says

The Dodd-Frank Wall Street Reform and Consumer Protection Act “has backfired,” Securities and Exchange Commissioner Daniel M. Gallagher Jr. told a U.S. Chamber of Commerce audience Tuesday.

August 04, 2015 | 03:43 pm
PIMCO gets Wells notice over Total Return Fund ETF

PIMCO gets Wells notice over Total Return Fund ETF

PIMCO said regulators are considering taking action against the firm over marking of securities in the exchange-traded fund version of its flagship Total Return Fund.

August 03, 2015 | 06:00 pm
Judge allows challenge to SEC administrative hearing to continue

Judge allows challenge to SEC administrative hearing to continue

A legal challenge to the SEC's handling of enforcement cases through administrative proceedings will be allowed to proceed, U.S. District Judge Richard Berman ruled Monday.

August 03, 2015 | 04:22 pm
Assessing the impact of  Dodd-Frank 5 years later

Assessing the impact of Dodd-Frank 5 years later

It's been five years since President Barack Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act, a far-reaching law enacted after the 2008 financial crisis that aimed to stave...

July 27, 2015
Comments about Dodd-Frank

Comments about Dodd-Frank

As with any regulatory and legislative efforts, the Dodd-Frank Act has its critics and supporters. To gauge the impact of the law, Pensions & Investments reporters reached out to regulators,...

July 27, 2015 | 12:01 am
House panel calls on DOL to withdraw proposed fiduciary rule

House panel calls on DOL to withdraw proposed fiduciary rule

Republican members on the House Education and the Workforce Committee want the Department of Labor to withdraw its proposed fiduciary rule.

July 23, 2015 | 12:42 pm

SEC names co-head of private funds unit

Jennifer Duggins was named senior specialized examiner and co-head of the SEC’s private funds unit within the office of compliance inspections and examinations, an SEC official ...

July 23, 2015 | 03:41 pm
Public pension fund trustees press SEC for private equity fee disclosure

Public pension fund trustees press SEC for private equity fee disclosure

A coalition of public pension fund trustees wants the Securities and Exchange Commission to require more disclosure of private equity fees.

July 22, 2015 | 03:11 pm
House Democrats back DOL on fiduciary rule

House Democrats back DOL on fiduciary rule

Labor Secretary Thomas Perez is receiving backup from a diverse group of House Democrats as the agency works to update its fiduciary rule.

July 22, 2015 | 03:44 pm
Dodd-Frank five years later

Dodd-Frank five years later

It's been five years since President Barack Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act, a far-reaching law enacted in the wake of the 2008 financial crisis that aimed...

July 21, 2015 | 01:56 pm
Och-Ziff subsidiary to pay SEC penalty for inaccurate trade reporting

Och-Ziff subsidiary to pay SEC penalty for inaccurate trade reporting

OZ Management LP will pay a $4.25 million penalty to settle charges that it provided inaccurate trade data to four prime brokers.

July 14, 2015 | 03:10 pm
Federal agencies report finds high-frequency trading a factor in October 'flash crash'

Federal agencies report finds high-frequency trading a factor in October 'flash crash'

The “flash crash” in U.S. Treasuries on Oct. 15, 2014, came from several factors, including high-frequency trading.

July 13, 2015 | 01:49 pm
Managers push SEC for limits on brokers' maker-taker rebates

Managers push SEC for limits on brokers' maker-taker rebates

Money managers want the Securities and Exchange Commission to examine maker-taker rebates — to limit or eliminate them for all stock trades — claiming that the rebates spur broker-dealers ...

July 13, 2015
District Court judge declines to stop SEC action against Patriarch Partners

District Court judge declines to stop SEC action against Patriarch Partners

Patriarch Partners and CEO Lynn Tilton lost their bid to have a U.S. District Court judge stop an SEC administrative proceeding against them, but are appealing the decision.

July 01, 2015 | 02:48 pm
SEC grants KKR waiver following settlement over improper fees

SEC grants KKR waiver following settlement over improper fees

KKR will not lose its status as an eligible securities issuer, following its settlement Monday with the Securities and Exchange Commission over improper fees.

July 01, 2015 | 02:40 pm