SEC

SEC enforcement still full steam ahead

SEC enforcement still full steam ahead

While the Securities and Exchange Commission awaits confirmation of new Chairman Jay Clayton, the agency's enforcement efforts will continue, although some priorities may shift, sources say.

March 03, 2017 | 03:53 pm
First decision on SEC use of in-house judges to be reconsidered

First decision on SEC use of in-house judges to be reconsidered

The first U.S. appeals court to weigh in on whether Securities and Exchange Commission administrative judges are constitutional will reconsider a decision favoring the agency.

February 17, 2017 | 03:02 pm
SEC to reconsider CEO pay ratio rule

SEC to reconsider CEO pay ratio rule

Acting SEC Chairman Michael Piwowar has called for reconsidering a controversial rule on CEO pay ratio disclosure.

February 07, 2017 | 12:15 pm
Financial firms ready for fiduciary rule, Sen. Elizabeth Warren says

Financial firms ready for fiduciary rule, Sen. Elizabeth Warren says

BlackRock, Vanguard Group, TIAA-CREF and 18 other financial firms support implementation of the Department of Labor's fiduciary rule, Sen. Elizabeth Warren, D-Mass., said Tuesday in a letter to...

February 07, 2017 | 12:26 pm

Investor protection must be top priority

The transition in leadership at the Securities and Exchange Commission leaves the future course on numerous regulatory issues unclear, particularly as it relates to investor protection.

February 06, 2017

SEC head of compliance inspections and examinations to depart in February

Marc Wyatt, director of the SEC’s office of compliance inspections and examinations, is leaving in February and returning to the private sector.

January 30, 2017 | 03:13 pm
New SEC liquidity rule could benefit investors

New SEC liquidity rule could benefit investors

New SEC regulations are set to impose restrictions on what assets funds can hold and in what quantities, but funds that adapt appropriately will be rewarded with lower transaction costs and higher...

January 27, 2017 | 05:00 am
2 former Och-Ziff employees charged by SEC in alleged bribery scheme

2 former Och-Ziff employees charged by SEC in alleged bribery scheme

The workers were charged with violations of the anti-bribery provisions of the Foreign Corrupt Practices Act in connection with an alleged bribery scheme they conducted while working for the...

January 26, 2017 | 03:38 pm
Investors urged to look hard at routing

Investors urged to look hard at routing

Recent settlements over market makers providing misleading information on equity trades have put institutional investors on notice that they need to take a closer look of how their trades are routed.

January 23, 2017