SEC

Meet the SEC nominees: One opposes the DOL fiduciary rule, one is a blank slate

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Republican Hester Peirce and Democrat Robert Jackson seek to fill two vacancies on the commission

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Robert Jackson was picked to serve on the Securities and Exchange Commission, the White House said Saturday.
SEC charges Navellier & Associates with fraud

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The Securities and Exchange Commission announced fraud charges Thursday against Navellier & Associates.
SEC names director of investment management division

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Dalia Blass was named director of the SEC's investment management division.
Supreme Court to hear IPO disclosure case Nov. 6

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The Supreme Court is to hear arguments Nov. 6 in a case challenging whether an issuer's duty to disclose certain information allows for class-action lawsuits.
OCC, FDIC propose aligning rules with SEC's 2-day trade settlement cycle

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Office of the Comptroller of the Currency and the FDIC proposed Friday reducing the trade settlement cycle to two days from three days.
New York Stock Exchange proposes delay on companies issuing news release after market close

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New York Stock Exchange is proposing requiring listed companies to hold off on releasing company news for five minutes after each day's market close.
S&P executive cleared of CMBS ratings fraud charges

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A former S&P's Ratings exec is cleared of fraud charges brought by the SEC over changes made to ratings of commercial mortgage-backed securities.
A cure for Wall Street's MiFID migraine is said in works at SEC

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Wall Street has been urging Washington for months to blunt the fallout from new European rules that banks say will upend their research businesses.
Deerfield to pay $4.6 million to settle SEC charges of insufficient insider-trading preventions

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Deerfield Management Co. will pay more than $4.6 million to settle charges that it had insufficient safeguards in place to prevent insider trading.
Volcker changes might have little impact with Basel III still around

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Proposals to scale back the Volcker rule won't impact the corporate bond market still working under Basel III capital requirements.
Regulatory reforms have had limited impact on markets, SEC finds

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Access to capital and market liquidity have not been negatively affected by post-financial crisis regulatory reforms.
Appeals court tells SEC to review Options Clearing Corp.'s fee plan again

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A federal appeals court told the SEC to review more closely a plan by Options Clearing Corp. to boost its capital reserve.

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David W. Grim, director of the division of investment management at the SEC, is leaving the agency in September.
Volcker Rule rewrite said to start as Trump regulators grab reins

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Regulators reportedly agree to rewrite the Volcker Rule, moving to loosen restrictions written in response to the financial crisis.