Marc Wyatt was named acting director of the SEC's office of compliance inspections and examinations.
April 09, 2015 | 06:08 pm
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
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 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
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 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
Nine large public pension funds asked the SEC on Tuesday to require companies to disclose more about their boards’ diversity.
March 31, 2015 | 03:32 pm
The number of securities class actions alleging accounting violations increased in 2014, spurred by increased SEC enforcement and more cases involving corporate restatements, according to a new report.
March 31, 2015 | 12:01 am
The SEC on Monday charged Patriarch Partners and CEO Lynn Tilton with improper asset valuation and failure to disclose poor performance of loan assets in three collateralized loan obligation funds...
March 30, 2015 | 02:26 pm
Billionaire Leon Cooperman, founder of hedge fund Omega Advisors, told clients that his firm has been subpoenaed by the U.S. Attorney’s Office in New Jersey and the Securities and Exchange...
March 26, 2015 | 03:08 pm
High-frequency and other proprietary traders will be overseen by the Financial Industry Regulatory Authority under a proposed rule announced by the Securities and Exchange Commission on Wednesday.
March 25, 2015 | 02:33 pm
Republican state committees in New York and Tennessee asked a federal appeals court in Washington on Monday to overturn the Securities and Exchange Commission’s pay-to-play rule.
March 23, 2015 | 03:33 pm
Internal compliance controls at firms regulated by the Securities and Exchange Commission will get more scrutiny this year, enforcement director Andrew Ceresney said Thursday at a Corporate Counsel...
March 12, 2015 | 03:31 pm
Pursuing enforcement actions in-house instead of through the courts has paid off for the Securities and Exchange Commission in recent years, but the agency might now be a victim of its own success.
March 09, 2015
Corporations should adopt a universal proxy ballot enabling shareholders to vote for both management and activist nominees for boards of directors on the same voting card, Anne Simpson, senior...