SEC standards-of-conduct package draws praise and criticism following its passage June 5.
Exchanges are challenging the SEC on a transaction fee pilot program and recent fee rulings, but the agency is undeterred.
The Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.
The SEC said stock exchanges will have to provide more details before being allowed to raise fees or offer discounts to some traders.
The U.K.'s FCA endorsed the Cost Transparency Initiative's templates, which are designed to help standardize disclosure of investment fees.
Treasury Secretary Steven Mnuchin said Wednesday that the administration has no plans to halt the preferential tax treatment of carried interest profits.
The impact of short-term quarterly reporting rules on capital markets will be discussed this summer at an SEC staff roundtable.
Five banks agreed to pay the European Union fines totaling $1.2 billion to settle charges of colluding on foreign-exchange trading.
IEX Group filed an amicus brief supporting SEC efforts to have other exchanges provide more justification for their market data fees.
MiFID II has left active managers in a sweet spot by elevating the value of their in-house small- and midcap research, sources said.
The SEC voted to excuse public companies with less than $100 million in revenue from outside audits.
A court granted Puerto Rico's federally appointed oversight board two more months to have its authority endorsed by the U.S. Senate.
The SEC's standards-of-conduct package will protect investors and mitigate confusion in the industry, Chairman Jay Clayton said.
The DOL posted a large increase in enforcement actions in 2018, but has been far less active in providing guidance on hot-button issues.
Association of the Luxembourg Fund Industry called European regulation changes to facilitate cross-border fund distribution "restrictive."
Stakeholders with a host of backgrounds are awaiting the SEC's final rule on Reg BI, the implications of which remain to be seen.
A Senate panel called for more scrutiny into the use of ESG principles by institutional investors, fund managers and proxy advisory firms.
The SEC's upcoming transaction fee pilot program was put largely on hold while legal challenges raised by the exchanges are addressed.
The SEC should incorporate human-capital management into its corporate reporting and disclosure regime, an agency subcommittee says.
The SEC voted to simplify disclosure requirements for public companies, investment consultants and money managers and streamline BDC rules.
Financial trade groups urge changes to a proposed rule that would set a new method for calculating the exposure amount of derivatives.
Stakeholders told a House subcommittee the SEC's standards-of-conduct proposal needs work before a final rule is issued later this year.
The SEC is to review equity market structure rules and practices to see what can be improved to protect investors and market participants.
The European Commission proposed lower capital requirements for insurance companies holding private equity and private debt assets.
The European Parliament and European Union countries agreed on sustainable investment disclosure rules for institutional investors.