The SEC's Advisory Committee on Small and Emerging Companies is pushing for a new small-issuer stock market.
A U.S. hedge fund advisory firm will pay more than $600 million to settle insider-trading charges.
We may soon see intense SEC regulatory actions against large U.S. corporations.
The SEC has charged two investment advisers at Oppenheimer & Co. with misleading investors about valuation policies and performance.
The Securities and Exchange Commission (SEC) has proposed new rules for market participants that will require them to put in place comprehensive policies and procedures with regards to their technological systems. According to an SEC release, the proposal, called Regulation SCI, would replace the current voluntary compliance program with enforceable rules designed to better insulate […]
High-frequency trading in the U.S. is getting much heat from the FBI and SEC, who have teamed up against manipulative trading practices powered by ultra-sophisticated algorithmic strategies.
The North American Securities Administrators Association (NASAA) is calling for Congress to implement a fiduciary standard for broker-dealers.
The SEC has charged a China-based petrochemical company and its former chief financial officer with accounting and disclosure violations.
The Securities Exchange Commission has decided on its examination priorities for 2013.
The U.S. is one step closer to a fiduciary standard for financial advisors.