Renee Jones was appointed director of the Securities and Exchange Commission's division of corporation finance.
Under new Chairman Gary Gensler, the SEC is planning to issue rule proposals on climate risk, proxy-voting advice and more.
The SEC is considering further regulatory action on its proxy adviser rules, much to the chagrin or delight of respective stakeholders.
Wall Street's top brokers are quietly tightening their rules for who can bet against retail traders' most-popular meme stocks.
SEC Chairman Gary Gensler asked the SEC to revisit rules governing the purchase and sale of stock held by corporate executives.
China is allowing Ant Group to start operations at its consumer finance company, the first sign of progress after a regulatory crackdown.
The SEC is weighing several bitcoin ETF proposals and is soliciting comments on applications from Fidelity and SkyBridge Capital.
The Department of Justice is investigating the market-rattling meltdown of Bill Hwang's Archegos Capital Management in March.
The SEC approved a Nasdaq proposal allowing companies to raise capital while also doing direct listings instead of initial public offerings.
The European Commission fined three banks $451 million for colluding to fix prices in the eurozone government bond market.
The government hopes reforms make employees agents of change, but analysts see constraints on asset allocators depressing retirement saving.
The SEC is preparing recommendations for updating disclosure rules on how companies are managing climate risk and human capital.
The SEC warned investors interested in mutual funds with exposure to the bitcoin futures market to weigh the risks carefully.
The CFA Institute is taking a closer look at special purpose acquisition companies to see what changes might be needed in three key areas.
The U.K. Financial Conduct Authority is seeking industry input on a new type of illiquid fund aimed at defined contribution plans.
Australia's securities regulator is probing Westpac Banking over insider trading, just months after it settled money laundering charges.
Jessica Wachter was appointed the SEC's chief economist and director of the division of economic and risk analysis.
Institutional investors are encouraged that new SEC Chairman Gary Gensler has a track record of getting controversial things done.
Cryptocurrency advocates will have to wait a while longer for the U.S. regulator's verdict on bitcoin ETF approval as applications pile up.
The U.K.'s financial watchdog wants to exempt bond and small-company research from European trading rules.
U.S. regulators are considering tougher disclosure requirements for investment firms in response to the implosion of Archegos Capital.
Alex Oh was appointed director of enforcement for the Securities and Exchange Commission.
The Labor Department's new investment-advice guidance makes clear that rollover recommendations will be a major focus moving forward.
Senators called on the Labor Department regulator not to exempt Goldman Sachs from 1MDB-related penalties on managing retirement assets.
An SEC official warned that creating SPACs and taking them public is "not a free pass" to avoid federal securities laws.