SEC

SEC plans to propose fiduciary rule next April

SEC plans to propose fiduciary rule next April

The Securities and Exchange Commission plans to propose rules for raising investment advice standards and authorizing non-governmental examinations of advisers next spring, according to its latest...

May 19, 2016 | 03:56 pm
SEC enforcements focusing more on financial subsidiaries — report

SEC enforcements focusing more on financial subsidiaries — report

Financial services firms are more often the focus of Securities and Exchange Commission enforcement actions than their parent companies, said a report issued Tuesday by New York University School of...

May 17, 2016 | 03:22 pm

Former State Street executive charged by SEC related to transition management fees

Ross McLellan, former executive vice president of State Street Corp. and president of its U.S. broker-dealer unit, was charged Friday by the SEC with charging hidden fees on securities trading for...

May 13, 2016 | 05:47 pm
SEC proposal would track all U.S. equity and options trading

SEC proposal would track all U.S. equity and options trading

An SEC proposal approved Wednesday would create a single database to track all U.S. equity and options trading.

April 27, 2016 | 03:24 pm
Supreme Court declines to hear SEC administrative law judge challenge

Supreme Court declines to hear SEC administrative law judge challenge

The U.S. Supreme Court on Monday declined to consider one of the growing number of legal challenges to the Securities and Exchange Commission use of in-house administrative courts.

April 25, 2016 | 03:11 pm
SEC extends limit-up, limit-down trading pilot program

SEC extends limit-up, limit-down trading pilot program

The SEC on Thursday said it would extend the limit-up, limit-down stock-trading pilot, until April 21, 2017.

April 22, 2016 | 11:40 am