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Securities and Exchange Commission

Rules for 'dark pool' trading need strengthening: report

U.S. regulators need to accelerate their efforts beef up the rules governing "dark pool" trading pla...

Sep 16, 2015 03:26 AM EDT

Wall Street regulator cites concerns with Labor Department's broker rule

A leading Wall Street regulator on Friday voiced concerns over the U.S. Labor Department's plan to r...

May 02, 2015 07:00 AM EDT

SEC panel to call for better Wall Street disciplinary database

A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities r...

Apr 10, 2015 04:16 AM EDT

SEC's Stein calls for ending debate over dueling accounting rules

A federal securities regulator on Thursday called for an end to the long-running debate over whether...

Mar 27, 2015 04:08 AM EDT

Senator Warren questions US SEC chair on broker reforms

Senator Elizabeth Warren said Friday that the U.S. Labor Department should press ahead with brokerag...

Mar 23, 2015 02:59 AM EDT

Bank of America must allow shareholder vote on breakup: SEC letter

Bank of America (BAC.N) must allow shareholders to vote on a proposal that calls for the company to ...

Mar 19, 2015 05:06 AM EDT

Activist investor Stilwell settles SEC case he claimed was illegal

Activist hedge fund manager Joseph Stilwell and his Stilwell Value LLC will pay more than $589,000 t...

Mar 17, 2015 03:44 AM EDT

U.S. executives lay out regulatory vision for venture exchanges

Two top stock exchanges laid out their vision on Tuesday for how they believe U.S. regulators could ...

Mar 11, 2015 02:36 AM EDT

SEC on the prowl for cyber security cases: official

Investigators at the U.S. Securities and Exchange Commission are on the lookout for violations such ...

Feb 21, 2015 07:08 AM EST

Credit Suisse to face consumer push-back at regulatory hearing

Credit Suisse Group AG will ask U.S. regulators at a hearing on Thursday to allow it to manage pensi...

Jan 15, 2015 09:35 AM EST

Connecticut investment adviser sentenced to 40 months in prison for fraud

Connecticut investment advisor Noah Myers was sentenced to 40 months in prison on Monday by a Distri...

Jan 13, 2015 09:52 AM EST

Exchange operator BATS calls for U.S. regulatory reform

Exchange operator BATS Global Markets on Tuesday called for changes to U.S. stock market rules, incl...

Jan 07, 2015 03:16 AM EST

Citigroup to shutter LavaFlow stock trading venue

Citigroup Inc (C.N) is shutting down its alternative stock trading venue LavaFlow, the bank said on ...

Dec 03, 2014 07:28 AM EST

Divided SEC adopts mortgage rule, decries lax lending

U.S. securities regulators adopted a rule on Wednesday designed to avert another financial crisis, b...

Oct 23, 2014 05:37 AM EDT

Head of municipal securities office at U.S. SEC to leave agency

The director of the office of municipal securities at the Securities and Exchange Commission, John C...

Oct 22, 2014 07:02 AM EDT

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