SEC

Firms oppose SEC's internal enforcement process

Firms oppose SEC's internal enforcement process

Pursuing enforcement actions in-house instead of through the courts has paid off for the Securities and Exchange Commission in recent years, but the agency might now be a victim of its own success.

March 09, 2015

SEC round-table panelists debate necessity for universal proxy ballot

Corporations should adopt a universal proxy ballot enabling shareholders to vote for both management and activist nominees for boards of directors on the same voting card, Anne Simpson, senior...

February 19, 2015 | 03:58 pm
Law professors respond to Gallagher's accusations

Law professors respond to Gallagher's accusations

A Securities and Exchange Commission member's dispute with a prominent Harvard Law School professor has turned into something of a gang fight, academic style.

January 26, 2015
Norm Champ to leave as SEC’s director of investment management

Norm Champ to leave as SEC’s director of investment management

Norm Champ is resigning from the SEC as director of investment management at the end of January, the Securities and Exchange Commission announced Wednesday.

January 21, 2015 | 03:04 pm
S&P settles with SEC, 2 states over CMBS ratings

S&P settles with SEC, 2 states over CMBS ratings

Standard & Poor's Ratings Services agreed to pay a total of $77 million to settle federal securities law violations involving its ratings of commercial mortgage-backed securities to the SEC, and to...

January 21, 2015 | 02:03 pm
SEC to revisit proxy access conflict rule

SEC to revisit proxy access conflict rule

The SEC will revisit proxy rules that allow companies to exclude shareholder proposals that are in direct conflict with management proposals, Chairwoman Mary Jo White said.

January 20, 2015 | 03:35 pm
SEC approves new transparency rules on swaps trades

SEC approves new transparency rules on swaps trades

Most swaps trades will have to be reported to the public under rules approved by the SEC on Wednesday.

January 14, 2015 | 01:35 pm
SEC prioritizes market risks for 2015, will continue to review private equity fees

SEC prioritizes market risks for 2015, will continue to review private equity fees

SEC compliance officials will spend 2015 focused on protecting retail investors' retirement savings and assessing market risks

January 13, 2015 | 03:52 pm
Direct Edge Holdings to pay $14 million in SEC settlement

Direct Edge Holdings to pay $14 million in SEC settlement

Two Direct Edge exchanges now owned by BATS Global Markets will pay $14 million to settle charges of improperly describing stock orders, the SEC announced Monday.

January 12, 2015 | 01:40 pm
Former SEC chairman calls agency's proxy guidance a 'positive first step'

Former SEC chairman calls agency's proxy guidance a 'positive first step'

SEC staff guidance on proxy voting and the use of proxy advisory firms “is a rich opportunity for public companies to take the initiative back,” former SEC Chairman Harvey Pitt said...

January 07, 2015 | 03:46 pm

Blackstone, TPG open up about hidden fees as SEC pushes transparency

Two of the largest private equity firms are disclosing fees that had largely been hidden as U.S. regulators demand increased transparency from the industry.

December 31, 2014 | 10:54 am

SEC cites lax practices at credit-rating firms

Debt raters failed to follow their own methodologies, let senior credit officers view market-share data and allowed a trade group to affect criteria changes, an SEC report said.

December 24, 2014 | 12:31 pm
F-Squared Investments settles with SEC over false advertising

F-Squared Investments settles with SEC over false advertising

F-Squared Investments will pay $35 million and admit wrongdoing to settle SEC charges of defrauding investors with false performance advertising of its flagship strategy, “AlphaSector,”...

December 22, 2014 | 03:23 pm

The SEC's "broken windows' strategy is misguided

The Securities and Exchange Commission is unfortunately pursuing a fundamentally flawed strategy to police the capital markets and protect investors.

December 22, 2014
More safeguards coming for money managers in 2015, SEC chairwoman says

More safeguards coming for money managers in 2015, SEC chairwoman says

The SEC will spend 2015 taking a closer look at risks in the money management industry, Chairwoman Mary Jo White said Thursday at an investor conference in New York.

December 11, 2014 | 03:17 pm