Standards-of-conduct rules approved along party lines
June 10, 2019 01:00:00 AMSEC standards-of-conduct package draws praise and criticism following its passage June 5.
Investors hail SEC guidelines on exchanges
June 10, 2019 01:00:00 AMExchanges are challenging the SEC on a transaction fee pilot program and recent fee rulings, but the agency is undeterred.
Senate confirms new CFTC chairman
June 05, 2019 01:00:00 AMThe Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.
SEC requires more information on exchange fee increases, starts fee pre-pilot
May 22, 2019 01:00:00 AMThe SEC said stock exchanges will have to provide more details before being allowed to raise fees or offer discounts to some traders.
FCA endorses new standards for disclosure of investment fees
May 22, 2019 01:00:00 AMThe U.K.'s FCA endorsed the Cost Transparency Initiative's templates, which are designed to help standardize disclosure of investment fees.
Mnuchin says no plan to change carried interest tax treatment
May 22, 2019 01:00:00 AMTreasury Secretary Steven Mnuchin said Wednesday that the administration has no plans to halt the preferential tax treatment of carried interest profits.
SEC roundtable on quarterly reporting coming this summer
May 21, 2019 01:00:00 AMThe impact of short-term quarterly reporting rules on capital markets will be discussed this summer at an SEC staff roundtable.
EU fines 5 banks $1.2 billion for currency trading collusion
May 16, 2019 01:00:00 AMFive banks agreed to pay the European Union fines totaling $1.2 billion to settle charges of colluding on foreign-exchange trading.
IEX backs SEC in market data fee justification case
May 14, 2019 01:00:00 AMIEX Group filed an amicus brief supporting SEC efforts to have other exchanges provide more justification for their market data fees.
MiFID II creating more opportunities for active small-, midcap strategies
May 13, 2019 01:00:00 AMMiFID II has left active managers in a sweet spot by elevating the value of their in-house small- and midcap research, sources said.
SEC adopts proposal to ease audits for smaller public companies
May 10, 2019 01:00:00 AMThe SEC voted to excuse public companies with less than $100 million in revenue from outside audits.
Puerto Rico board gets more time to be confirmed by Senate
May 07, 2019 01:00:00 AMA court granted Puerto Rico's federally appointed oversight board two more months to have its authority endorsed by the U.S. Senate.
SEC staff working hard to get Reg BI right, chairman says
May 02, 2019 01:00:00 AMThe SEC's standards-of-conduct package will protect investors and mitigate confusion in the industry, Chairman Jay Clayton said.
DOL guidance down to trickle; enforcement up
April 29, 2019 01:00:00 AMThe DOL posted a large increase in enforcement actions in 2018, but has been far less active in providing guidance on hot-button issues.
Luxembourg group calls cross-border regulation changes 'restrictive'
April 23, 2019 01:00:00 AMAssociation of the Luxembourg Fund Industry called European regulation changes to facilitate cross-border fund distribution "restrictive."
Stakeholders await SEC's final rule regarding Reg BI
April 15, 2019 01:00:00 AMStakeholders with a host of backgrounds are awaiting the SEC's final rule on Reg BI, the implications of which remain to be seen.
Senate panel calls for more scrutiny of ESG investing
April 02, 2019 01:00:00 AMA Senate panel called for more scrutiny into the use of ESG principles by institutional investors, fund managers and proxy advisory firms.
SEC puts transaction fee pilot on hold during court challenges
March 29, 2019 01:00:00 AMThe SEC's upcoming transaction fee pilot program was put largely on hold while legal challenges raised by the exchanges are addressed.
Investor group calls on SEC for more disclosure on human capital
March 28, 2019 01:00:00 AMThe SEC should incorporate human-capital management into its corporate reporting and disclosure regime, an agency subcommittee says.
SEC votes to improve public company disclosure, simplify BDC offerings
March 21, 2019 01:00:00 AMThe SEC voted to simplify disclosure requirements for public companies, investment consultants and money managers and streamline BDC rules.
Trade groups urge changes to proposal on measuring counterparty credit risk
March 19, 2019 01:00:00 AMFinancial trade groups urge changes to a proposed rule that would set a new method for calculating the exposure amount of derivatives.
SEC's Reg BI proposal draws criticism in House hearing
March 14, 2019 01:00:00 AMStakeholders told a House subcommittee the SEC's standards-of-conduct proposal needs work before a final rule is issued later this year.
SEC to reassess exchange practices and other market structure issues, officials say
March 11, 2019 01:00:00 AMThe SEC is to review equity market structure rules and practices to see what can be improved to protect investors and market participants.
EC proposes lowering capital requirements for insurance companies with private equity, private debt
March 11, 2019 01:00:00 AMThe European Commission proposed lower capital requirements for insurance companies holding private equity and private debt assets.
EU agrees to sustainable investment disclosure framework
March 08, 2019 12:00:00 AMThe European Parliament and European Union countries agreed on sustainable investment disclosure rules for institutional investors.