Watch breaking news videos and read news updates about SEC on pionline.com
Dodd-Frank 'backfired,' SEC commissioner says
trueThe Dodd-Frank Wall Street Reform and Consumer Protection Act “has backfired,” Securities and Exchange Commissioner Daniel M. Gallagher Jr. told a U.S. Chamber of Commerce audience Tuesday.
PIMCO gets Wells notice over Total Return Fund ETF
truePIMCO said regulators are considering taking action against the firm over marking of securities in the exchange-traded fund version of its flagship Total Return Fund.
Judge allows challenge to SEC administrative hearing to continue
trueA legal challenge to the SEC's handling of enforcement cases through administrative proceedings will be allowed to proceed, U.S. District Judge Richard Berman ruled Monday.
Assessing the impact of Dodd-Frank 5 years later
trueIt's been five years since President Barack Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act, a far-reaching law enacted after the 2008 financial crisis that aimed to stave off future economic meltdowns.
Comments about Dodd-Frank
trueAs with any regulatory and legislative efforts, the Dodd-Frank Act has its critics and supporters. To gauge the impact of the law, Pensions & Investments reporters reached out to regulators, architects of the bill, money managers, plan sponsors and others about its effect on institutional ...
SEC names co-head of private funds unit
trueJennifer Duggins was named senior specialized examiner and co-head of the SEC’s private funds unit within the office of compliance inspections and examinations, an SEC official confirmed.
House panel calls on DOL to withdraw proposed fiduciary rule
trueRepublican members on the House Education and the Workforce Committee want the Department of Labor to withdraw its proposed fiduciary rule.
House Democrats back DOL on fiduciary rule
trueLabor Secretary Thomas Perez is receiving backup from a diverse group of House Democrats as the agency works to update its fiduciary rule.
Public pension fund trustees press SEC for private equity fee disclosure
trueA coalition of public pension fund trustees wants the Securities and Exchange Commission to require more disclosure of private equity fees.
Dodd-Frank five years later
trueIt's been five years since President Barack Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act, a far-reaching law enacted in the wake of the 2008 financial crisis that aimed to stave off future economic meltdowns.
Och-Ziff subsidiary to pay SEC penalty for inaccurate trade reporting
trueOZ Management LP will pay a $4.25 million penalty to settle charges that it provided inaccurate trade data to four prime brokers.
Federal agencies report finds high-frequency trading a factor in October 'flash crash'
trueThe “flash crash” in U.S. Treasuries on Oct. 15, 2014, came from several factors, including high-frequency trading.
Managers push SEC for limits on brokers' maker-taker rebates
trueMoney managers want the Securities and Exchange Commission to examine maker-taker rebates — to limit or eliminate them for all stock trades — claiming that the rebates spur broker-dealers to find trading venues based on revenue, rather than on best execution for clients.
District Court judge declines to stop SEC action against Patriarch Partners
truePatriarch Partners and CEO Lynn Tilton lost their bid to have a U.S. District Court judge stop an SEC administrative proceeding against them, but are appealing the decision.
SEC grants KKR waiver following settlement over improper fees
trueKKR will not lose its status as an eligible securities issuer, following its settlement Monday with the Securities and Exchange Commission over improper fees.