Morgan Stanley will pay $275 million to settle charges brought by the Securities and Exchange Commission alleging inadequate investor disclosure in two residential mortgage-backed securities...
July 24, 2014 | 03:28 pm
Institutional prime money market funds will have several new tools for preventing runs, under new rules approved Wednesday by the Securities and Exchange Commission.
July 23, 2014 | 03:43 pm
Scott O'Malia is resigning as a CFTC commissioner effective Aug. 8.
July 22, 2014 | 01:41 pm
Some of the country’s largest hedge funds are being investigated by the SEC as part of an insider-trading probe.
July 17, 2014 | 05:41 pm
Much-anticipated reforms for money market funds from the Securities and Exchange Commission will be decided at an open meeting July 23 in Washington.
July 17, 2014 | 02:59 pm
The first enforcement case brought under the SEC's pay-to-play rules has increased awareness of the extent of the regulations, and their impact on managers and investors.
July 07, 2014
The Securities and Exchange Commission is recommending that action be taken against BlackRock subsidiary BlackRock Advisors, an 8-K filing from BlackRock on Friday said.
June 27, 2014 | 05:07 pm
The SEC on Wednesday voted to extend its cross-border securities-based swap rules to include transactions executed by foreign divisions of U.S. banks when an affiliate’s trades are legally...
June 25, 2014 | 03:43 pm
Increasing the transparency of prices and potential conflicts of interest in institutional trades in dark pools and automated trading systems will drive the SEC's policy agenda for the next several...
June 23, 2014
TL Ventures Inc. will pay $300,000 to settle “pay-to-play” charges announced Friday by the SEC.
June 20, 2014 | 02:26 pm
Paradigm Capital Management and founder Candace King Weir agreed to pay $2.2 million to settle charges that it engaged in prohibited transactions and retaliation against an employee whistle-blower,...
June 16, 2014 | 02:36 pm
Private equity general partners, spurred by a speech by the SEC's chief of compliance inspections, are reviewing fee practices they had not specifically disclosed to limited partners.
June 09, 2014
Liquidnet reached a $2 million settlement with the SEC over charges that the institutional dark-pool operator used subscribers’ confidential information to market its services, the SEC said...
June 06, 2014 | 01:36 pm
The SEC will consider requiring more disclosure of institutional trades made through dark pools and other automated trading systems, and require high-frequency traders to register as broker-dealers,...
June 05, 2014 | 03:20 pm
Stephanie Avakian was named deputy director of the SEC’s enforcement division Thursday.