Money managers might need to charge clients for proxy voting to help finance the expense , Michelle Edkins, managing director and global head of corporate governance and responsible investment,...
December 05, 2013 | 04:20 pm
Mary Jo White, chairwoman of the Securities and Exchange Commission, plans to strengthen its law enforcement, broadening its reach and seeking more admissions of guilt.
November 25, 2013
Mark Megalli pleaded guilty on Thursday to one criminal count of conspiracy to commit securities fraud in connection with a “multimillion-dollar insider trading conspiracy” in the stock...
November 15, 2013 | 03:47 pm
LeeAnn Gaunt was appointed chief of the SEC enforcement division’s municipal securities and public pensions unit.
November 08, 2013 | 03:58 pm
S.A.C. Capital Advisors and three affiliated companies will plead “guilty to every count” of an insider-trading indictment and will pay an additional $1.2 billion to settle charges.
November 04, 2013 | 02:27 pm
Knight Capital Americas LLC will pay $12 million to settle charges brought by the SEC over a computer trading glitch that cost the company as much as $460 million in erroneous trading orders in...
October 16, 2013 | 03:16 pm
The August interruption in Nasdaq service is merely the latest example of the increasing instability of the U.S. equity market.
October 14, 2013
The Securities and Exchange Commission enforcement division has improved its market expertise and enforcement record, current and former enforcement officials gathered in Washington agreed Wednesday.
October 09, 2013 | 03:59 pm
Some industry experts are warning investors to remain cautious of a provision of the JOBS Act that allows companies with less than $1 billion in revenue to file for initial public offerings...
September 30, 2013
The SEC has filed an administrative and cease-and-desist order alleging that timber manager Timbervest LLC engaged in unauthorized transactions and that its chief investment officer, Walter William...
September 27, 2013 | 02:52 pm
The SEC plans to bring more actions on trading, Mary Jo White, SEC chairwoman said Thursday before some 400 attendees at the Council of Institutional Investors conference in Chicago.
September 26, 2013 | 01:51 pm
A divided U.S. Securities and Exchange Commission proposed that public companies disclose how much more their chief executives earn than rank-and-file workers.
September 18, 2013 | 02:59 pm
Ontario Teachers' Pension Plan, Toronto, is one of 22 investment bodies settling enforcement actions related to short selling, the SEC announced Tuesday.
September 17, 2013 | 03:39 pm
An attempt by the Securities and Exchange Commission to put more safeguards on money market funds is generating caution and resistance from lobbyists for pension funds and institutional money...
September 16, 2013
Hedge fund manager Philip A. Falcone and his firm, Harbinger Capital Partners, will pay more than $18 million and admit wrongdoing in a settlement the SEC announced Monday.