SEC

SEC approves new transparency rules on swaps trades

SEC approves new transparency rules on swaps trades

Most swaps trades will have to be reported to the public under rules approved by the SEC on Wednesday.

January 14, 2015 | 01:35 pm
SEC prioritizes market risks for 2015, will continue to review private equity fees

SEC prioritizes market risks for 2015, will continue to review private equity fees

SEC compliance officials will spend 2015 focused on protecting retail investors' retirement savings and assessing market risks

January 13, 2015 | 03:52 pm
Direct Edge Holdings to pay $14 million in SEC settlement

Direct Edge Holdings to pay $14 million in SEC settlement

Two Direct Edge exchanges now owned by BATS Global Markets will pay $14 million to settle charges of improperly describing stock orders, the SEC announced Monday.

January 12, 2015 | 01:40 pm
Former SEC chairman calls agency's proxy guidance a 'positive first step'

Former SEC chairman calls agency's proxy guidance a 'positive first step'

SEC staff guidance on proxy voting and the use of proxy advisory firms “is a rich opportunity for public companies to take the initiative back,” former SEC Chairman Harvey Pitt said...

January 07, 2015 | 03:46 pm

Blackstone, TPG open up about hidden fees as SEC pushes transparency

Two of the largest private equity firms are disclosing fees that had largely been hidden as U.S. regulators demand increased transparency from the industry.

December 31, 2014 | 10:54 am

SEC cites lax practices at credit-rating firms

Debt raters failed to follow their own methodologies, let senior credit officers view market-share data and allowed a trade group to affect criteria changes, an SEC report said.

December 24, 2014 | 12:31 pm
F-Squared Investments settles with SEC over false advertising

F-Squared Investments settles with SEC over false advertising

F-Squared Investments will pay $35 million and admit wrongdoing to settle SEC charges of defrauding investors with false performance advertising of its flagship strategy, “AlphaSector,”...

December 22, 2014 | 03:23 pm

The SEC's "broken windows' strategy is misguided

The Securities and Exchange Commission is unfortunately pursuing a fundamentally flawed strategy to police the capital markets and protect investors.

December 22, 2014
More safeguards coming for money managers in 2015, SEC chairwoman says

More safeguards coming for money managers in 2015, SEC chairwoman says

The SEC will spend 2015 taking a closer look at risks in the money management industry, Chairwoman Mary Jo White said Thursday at an investor conference in New York.

December 11, 2014 | 03:17 pm
Fiduciary concerns, complexities with the SEC's pay-to-play rule

Fiduciary concerns, complexities with the SEC's pay-to-play rule

The Securities and Exchange Commission's recent announcement of its first enforcement action under the “pay-to-play” rule it adopted in 2010 demands the attention of those responsible for ...

November 24, 2014
The risks of multiline firms

The risks of multiline firms

The Department of Labor made the right decision in granting Credit Suisse AG and its related entities a temporary exemption to continue to provide asset management services, at least for the short...

November 24, 2014
SEC to require backup operational plans for large-volume trading venues

SEC to require backup operational plans for large-volume trading venues

The SEC on Wednesday approved requiring large-volume equity exchanges, alternative trading systems and dark pools to submit to the agency backup operational plans in case those venues' technological...

November 19, 2014 | 02:38 pm
FSOC process necessary, Dodd says

FSOC process necessary, Dodd says

The Financial Stability Oversight Council's mission to identify systemically important non-bank financial institutions is necessary, former Sen. Christopher J. Dodd said Tuesday at an event marking...

November 18, 2014 | 02:37 pm
Regulators levy $4.4 billion in fines on banks for forex manipulation

Regulators levy $4.4 billion in fines on banks for forex manipulation

Citibank, HSBC, J.P. Morgan Chase, Royal Bank of Scotland and UBS received a combined $3.4 billion in penalties from U.S., U.K. and Swiss regulators for manipulating foreign exchange benchmark rates...

November 12, 2014 | 09:55 am

First fines in forex probe expected Wednesday

U.S., U.K. and Swiss authorities are preparing to levy the first penalties over foreign-exchange manipulation against at least six banks on Wednesday.

November 11, 2014 | 04:24 pm