Exchanges are challenging the SEC on a transaction fee pilot program and recent fee rulings, but the agency is undeterred.
The SEC is considering updating rules on the use of proxy advisory firms and thresholds for shareholder proposals.
The SEC said stock exchanges will have to provide more details before being allowed to raise fees or offer discounts to some traders.
FIRA has censured Voya Financial Advisors for steering clients to pay higher fees than they were actually required to pay.
New European Shareholder Rights Directive II will lead to more active ownership among investors in Europe, sources said.
An SEC pilot program about exchange transaction fees is under a legal challenge, but pension funds and other asset owners vow to press on.
Fidelity says it fully discloses fees that it charges some mutual funds for using the firm's platform to access retirement plan customers.
Five authors win the Richard A. Crowell Prize for their paper "IQ from IP: Simplifying Search in Portfolio Choice."
MetLife will pay $19.75 million to settle an investigation into revelations that it had not paid about 13,500 group annuity participants.
Investors are posing specific questions to managers about cybersecurity practices and controls and the SEC is also taking note.
MetLife will pay $1 million to settle an investigation into the insurer's revelation that it has not paid 13,500 group annuity participants.
Heath P. Tarbert will be nominated to serve as commissioner and chairman of the Commodity Futures Trading Commission.
Calls for more transparency could produce new regulations for proxy advisory firms.
The new DOL proposed rule on open multiple employer plans is a step in the right direction, but more work is needed, sources say.
In addition to a best-interest standard, the SEC is exploring other difficult issues in the world of financial services.
Tesla CEO Elon Musk was accused by the SEC of misleading investors when he tweeted that he had funding lined up to take the company private.
Voya Financial Advisors will pay $1 million to settle claims it violated two rules designed to protect confidential customer information.
Four Aegon, Transamerica companies were ordered by the SEC to refund $97 million to investors because the firms used faulty quant models.
A bid to list a bitcoin ETF run by Tyler and Cameron Winklevoss was rejected by the SEC over concerns of inadequate trading controls.
As cryptocurrencies continue to grow, investors favor increased regulation, but what that regulation might look like remains to be seen.
FINRA reports most of the $64.9 million it collected last year was spent on improving regulatory functions and compliance by member firms.
A record number of stock buybacks is driving calls for the SEC and companies to disclose more and consider limits.
Six senators asked the SEC's inspector general to investigate whether outgoing commissioner Michael Piwowar might have abused his position.
Pension funds, money managers show strong support for SEC's proposed maker-taker pilot.
Two insurance industry trade associations asked a federal court Wednesday to hurry up and kill the Labor Department's fiduciary duty rule.