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