SEC

SEC's compliance office makes conflicts of interest a top priority

SEC's compliance office makes conflicts of interest a top priority

Conflicts of interest are a top priority for the Securities and Exchange Commission's office of compliance inspections and examinations, Andrew Bowden, OCIE director, told compliance professionals...

October 21, 2014 | 04:04 pm
SEC picks hedge fund expert as OCIE deputy director

SEC picks hedge fund expert as OCIE deputy director

Marc Wyatt was named deputy director of the SEC’s office of compliance inspections and examinations, the agency announced Monday.

October 20, 2014 | 03:45 pm

SEC enforcement sets record in FY 2014

The Securities and Exchange Commission filed a record 755 enforcement actions in fiscal year 2014 that led to $4.16 billion in disgorgement and penalties, according to preliminary figures released by ...

October 16, 2014 | 04:08 pm
Pension-related cases being heard by the Supreme Court

Pension-related cases being heard by the Supreme Court

The Supreme Court's new term includes cases challenging investors' burden of proof in securities litigation and whether 401(k) plan fiduciaries can be sued for investment choices made years earlier.

October 13, 2014
CFA Institute urges SEC to revive its proxy access rule

CFA Institute urges SEC to revive its proxy access rule

The CFA Institute on Friday called for the Securities and Exchange Commission to revive its proxy access rule, contending it would increase U.S. market capitalization by as much as $140.3 billion.

September 19, 2014 | 04:28 pm
SEC settles with BlackRock, others over trading infractions

SEC settles with BlackRock, others over trading infractions

BlackRock Institutional Trust and RA Capital Management were among 19 firms and an individual trader that settled with the SEC over charges they illegally participated in stock offerings less than...

September 16, 2014 | 01:34 pm
SEC rule could push trading costs higher

SEC rule could push trading costs higher

The Securities and Exchange Commission's latest salvo in the war against market instability could mean higher trading fees for money managers and some smaller equity trading venues curtailing...

September 15, 2014
A vital SEC crucial to markets

A vital SEC crucial to markets

The Securities and Exchange Commission, according to testimony by its chairwoman, Mary Jo White, is desperately short of resources and cannot adequately fulfill its responsibility to oversee the...

September 15, 2014
SEC announces pilot program to expand tick sizes for small-cap trades

SEC announces pilot program to expand tick sizes for small-cap trades

The SEC on Tuesday announced a one-year pilot program to widen minimum tick sizes for small-cap stocks.

August 26, 2014 | 05:46 pm
SEC rules Timbervest violated Investment Advisers Act

SEC rules Timbervest violated Investment Advisers Act

An SEC administrative law judge ruled Wednesday that institutional timber manager Timbervest LLC violated terms of the Investment Advisers Act of 1940.

August 20, 2014 | 04:18 pm
SEC: Private fund manager AUM up 22% for year ended May 31

SEC: Private fund manager AUM up 22% for year ended May 31

Regulatory assets under management by private equity, hedge fund and other private fund managers required to register with the SEC increased 22% to $8.9 trillion in the year ended May 31.

August 19, 2014 | 03:46 pm
SEC ruling expected in Timbervest case

SEC ruling expected in Timbervest case

An SEC administrative law judge is scheduled to rule this week on whether institutional timber manager Timbervest LLC's violated securities laws and order firm officials to pay more than $15 million...

August 18, 2014
Challenges of cybersecurity

Challenges of cybersecurity

Trustees and other fiduciaries overseeing large asset pools face increasing challenges from cybersecurity risk, and must strengthen their risk management and preparedness to deal with these potential ...

August 18, 2014
SEC, Kansas settle over state’s pension fund disclosure in bond offerings

SEC, Kansas settle over state’s pension fund disclosure in bond offerings

The state of Kansas reached a settlement with the Securities and Exchange Commission Monday

August 11, 2014 | 03:32 pm

Ex-CEO of ConvergEx Global Markets faces Justice, SEC charges

Anthony G. Blumberg, former CEO of ConvergEx Global Markets, a now-shuttered broker-dealer subsidiary of ConvergEx Group, was charged by the Justice Department and the SEC with concealing fees to buy ...

August 07, 2014 | 05:12 pm