Securities And Exchange Commission

New York’s attorney general filed suit against RD Legal, accusing the hedge fund of “scamming” 9/11 compensation beneficiaries and NFL concussion victims.
As Donald Trump and the GOP prepare to take power, the Obama-appointed Securities and Exchange Commission boss’s legacy may be in doubt.
This week the SEC begins its test on trading for small-cap stocks. Here’s what investors should expect.
The requirement that brokers and advisers put clients’ interests first could benefit technology providers and technology-focused firms.
A proposal to let private firms perform regulatory scrutiny of registered investment advisers has left the industry divided.
Institutions such as New York State Common Retirement Fund are pressuring oil companies to prepare for a lower-carbon world.
Institutional investors have flocked to private trading venues to protect sensitive information, but new legal actions highlight the need for more regulation.
Authorities in Europe have turned their attention to funds that track the index while charging active management fees.
Dark pool IEX’s famed speed bump, intended to thwart high frequency traders, draws fire as the firm seeks public exchange status from the SEC.
The twin onslaught of Basel III and U.S. money market reform is pushing CFOs, treasurers and cash investors to find new vehicles to park liquid assets.