Exchanges are challenging the SEC on a transaction fee pilot program and recent fee rulings, but the agency is undeterred.
SEC standards-of-conduct package draws praise and criticism following its passage June 5.
The Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.
The Financial Conduct Authority is watching investor Neil Woodford after he froze withdrawals from his LF Woodford Equity Income Fund.
Commissioners at the Securities and Exchange Commission approved a standards-of-conduct package in a 3-1 vote.
Deer Park Road Management will pay a $5 million penalty to settle charges of compliance deficiencies related to valuation of fund assets.
The U.K. Financial Conduct Authority introduced disclosure requirements for money managers and insurers about their engagement practices.
A report found that few pension fund managers publicly state voting policies and guidelines on climate change, gender and ethnic diversity.
Puerto Rico's oversight board is asking officials to investigate local employers for failing to transfer payments to workers DC accounts.
The FCA warned that the ESMA's revised approach to equity trading will not eliminate the risk of market disruption in a no-deal Brexit.
Financial firms have security features designed to prevent unauthorized access to customers' accounts, but some fail to properly use them.
The Securities and Exchange Commission is hosting an open meeting June 5 where it will vote on its standards-of-conduct package proposal.
The SEC is considering updating rules on the use of proxy advisory firms and thresholds for shareholder proposals.
The Department of Labor intends to revisit the fiduciary rule, with a possible December release date for notice of new rule-making.
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.
Preserving choice for retail investors while protecting their interests are two of the main objectives of the SEC's standards-of-conduct package.
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.
Adam S. Aderton was named co-chief of the Securities and Exchange Commission enforcement division's asset management unit.