The Securities and Exchange Commission is unlikely to see its budget increased over the next couple months as it continues to implement Dodd-Frank.
The Securities and Exchange Commission is holding off forming several new departments required under the Dodd-Frank financial reform law.
The disclosure that Mary Schapiro received nearly $9 million last year when she left her post as Finra's chief executive to become chairman of the Securities and Exchange Commission was greeted with outrage by brokerage industry participants last week.
But Republican representative has little support for wholesale repeal, even among GOP
The U.S. Securities and Exchange Commission froze the assets of a North Carolina investment firm and its owner, claiming he diverted more than $16 million from clients including pension funds, school endowments and hospitals.
Securities America, Massachusetts regulator battle over who's at fault in Reg D fiasco
Montana's commissioner of securities and insurance has sued Securities America over the sale of failed private placements, making it the second state to target the broker-dealer for selling the risky investments.
Bipartisan members of the Senate Judiciary Committee introduced a bill Thursday that would remove exemptions for the Securities and Exchange Commission to a law that promotes openness at federal agencies.
Former staffer allegedly fired for wanting to question John Mack about possible insider trading at Pequot Capital
SEC claims broker churned accounts of the Sisters of Charity
First Allied Securities Inc., Janney Montgomery Scott LLC and Raymond James Financial Inc. are among a number of broker-dealers preparing for a spike in financial advisers' use of firm-sponsored, fee-based money management programs if brokers are to be held to a fiduciary standard of care.
Lawsuit claims bank and HSBC placed large orders, then withdrew them
Most registered investment advisers had a solid 2010 — they expanded their businesses, added clients and were even able to bump up their budgets a bit. Their feelings for the future, however, are not quite as fond.
A proposal by Finra to develop a qualifying test for investment advisers has received a cool reception from adviser groups, which claim that it is part a continuing campaign by the regulator to broaden its powers
The number of arbitration claims filed with the Financial Industry Regulatory Authority Inc. seeking repayment of forgivable loans from brokers who quit has more than doubled in the past two years.
The Securities and Exchange Commission is holding off forming several departments required under the Dodd-Frank financial reform law
