A proposed amendment to the plan governing the consolidated audit trail would hurt investors and raise the chance of data being compromised.
SEC officials will take a closer look at how public companies discuss approaches to addressing climate change.
Marty Walsh will have a lot on his plate when he becomes labor secretary, but work on retirement issues is expected to continue.
The U.K. Treasury wants views on a proposal to help market participants avoid any litigation resulting from the phaseout of LIBOR.
A Labor Department exemption that allows investment-advice fiduciaries to get paid for more types of guidance takes effect Feb. 16.
U.S. regulators are scrapping a Trump-era policy that critics contend helped insulate Wall Street firms from tougher penalties.
The Securities and Exchange Commission has widened the pool of staffers eligible to launch enforcement investigations.
SIFMA asked the SEC to examine whether personally identifiable information should be housed within the consolidated audit trail.
The SEC said it's seeking to identify potential misconduct and will scrutinize brokerages' decisions to halt buying in certain stocks.
SEC Commissioner Hester M. Peirce is optimistic the agency will provide clarity on cryptocurrency assets with Gary Gensler at the helm.
Roofers Local No. 88 Pension Fund applied to the Treasury Department to reduce benefits to avoid plan insolvency.
The Biden administration is weighing reversing an agency rule that hampers retirement plan fiduciaries from directing money to ESG funds.
The smallest defined contribution plans in the U.K. will be exempt from paying administration fees under new rules.
The Department of Labor has unveiled three pieces of guidance related to missing participants, including a range of best practices.
A group opposed to electronic disclosures asks regulators to reject a request by an organization seeking further guidance on their use.
Deutsche Bank will pay $122 million to settle federal bribery charges that it conducted a multiyear practice of bribing.
The New York Stock Exchange is proceeding with a plan to delist three Chinese telecommunications firms, its second about-face this week.
The New York Stock Exchange is reconsidering a decision to halt the delisting of three Chinese firms after Trump administration objections.
The Department of Labor in just five days this month finalized two distinct yet controversial rule-making actions.
The President's Working Group on Financial Markets issued a report with general policy measures to make money market funds more resilient.
The European Commission is considering the inclusion of advice costs into the fee cap of pan-European personal pension products.
Charles Koretke has been named managing executive of the SEC's Examinations division, a role he had served on an acting basis.
Dalia Blass, director of the Securities and Exchange Commission's division of investment management, will leave the post in January.
The Securities and Exchange Commission approved the New York Stock Exchange's plan to allow so-called primary direct floor listings
The Securities and Exchange Commission will broaden the focus of its Regulation Best Interest compliance examinations in 2021.