SEC

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  1. 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.

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  1. 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.

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  2. 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.

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  3. 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 ...

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  4. 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.

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  5. 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.

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  6. 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.

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  7. 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.

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  8. 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.

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  9. 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.

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  10. 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.

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  11. 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.

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  12. 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.

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  13. 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.

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