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