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.
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.
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.
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.
Financial trade groups urge changes to a proposed rule that would set a new method for calculating the exposure amount of derivatives.
The SEC is to review equity market structure rules and practices to see what can be improved to protect investors and market participants.
The Financial Stability Oversight Council proposed changes to how non-banks can be designated systemically important financial institutions.
An SEC pilot program about exchange transaction fees is under a legal challenge, but pension funds and other asset owners vow to press on.
The ILPA urged the SEC to uphold "fiduciary protections that investors are facing in the private equity market."
Five authors win the Richard A. Crowell Prize for their paper "IQ from IP: Simplifying Search in Portfolio Choice."
With no consensus approach for protecting data, the retirement industry has developed standards that are gaining traction. But more work is needed.
MetLife will pay $19.75 million to settle an investigation into revelations that it had not paid about 13,500 group annuity participants.
The firewall that Wall Street hoped would protect its U.S. stock and bond analysts from tough European rules is starting to crack.
Four banks are under suspicion by the European Commission of colluding in the European secondary bond market.
The SEC approved implementing a transaction fee pilot program to measure the effects of maker-taker rebates on equity trade execution.
Neuberger Berman will return $2 million and pay a civil penalty to settle charges of improper fees paid by Dyal Capital funds investors.