Agency must file cases seeking civil penalties for securities fraud within five years of the alleged incident
Group of billionaires and pols issues plan that would hike inheritance tax with $2M exemption.
Cuts might deal the nascent economic recovery a short-term setback, but investment advisers say the medicine is necessary to start curing the nation's long-term fiscal ills
Closing loopholes to stop sequestration will likely derail broad reform
Automatic cuts could whack SEC budget by more than $100 million.
Background as both prosecutor and defense attorney for Wall Steet a good thing, Kotz says
Even a smooth confirmation process for SEC-chairman nominee Mary Jo White could take months, leaving current chairman Elisse Walter in place for a while.
Supporters of the act, which was approved by large bipartisan majorities, contend that it would help spur economic growth and create jobs by providing capital to small businesses
It's been about a year since the Securities and Exchange Commission said it would assess the costs of a potential rule that would raise investment-advice standards for brokers. One reason that a request for data has not yet been released is because SEC commissioners keep tweaking it.
New study cites failure of money market fund reform as example
Agrees to pay $1.2M to close Finra enforcement action; five affiliates allegedly failed to retain millions of messages
Finra is once again looking to change some of its membership rules. The first go at making some revisions -- floated back in 2010 -- was not exactly cheered by reps.
Massachusetts Secretary of the Commonwealth William Galvin urges SEC to consider banning the use of such agreements by registered investment advisers
It's Inauguration Day for President Barack Obama. In his second term, expect more Terminator than conciliator.
After much speculation, the SEC today announced that its top cop will be stepping down in about two weeks.
Aladdin Capital agrees to settle charges that it misled retirement plans about CDOs
Commenters had warned against eliminating it without setting a new standard
Regulation of investment advisers likely to be low on Hensarling's list.
That's how one attorney described the potential damages banks face from an ongoing multistate probe of alleged Libor rigging by banks. Oh yes, some cities have already filed suit.
Proposals, bills cobbled together on fly with little time for review
