NEW YORK (Reuters) - The top U.S. securities regulator on Wednesday called on Corporate America to modernize its proxy voting practices to give ...
SEC accuses promoter, ex-brokerage exec of bilking seniors with 'free lunch' seminars Federal regulators on Thursday accused a real estate funds promoter and ...
WASHINGTON (Reuters) - The U.S. securities regulator warned Congress on Tuesday that parts of the $450 trillion private swaps market could still fall through regulatory cracks under the Obama administration's financial reform plan. Securities and Exchange Commission Chairman Mary Schapiro said stricter ...
SEC, CFTC chiefs urge Congress to impose broad oversight on financial derivatives Two key regulators on Tuesday urged Congress to go beyond an Obama administration proposal and impose comprehensive oversight on the sprawling, complex market for financial derivatives blamed for worsening the ...
US regulators have moved to stiffen rules government credit rating agencies, blamed by some for failing to alert investors to a meltdown that dragged the global economy into recession. The Securities and Exchange Commission said in a statement late Thursday that its ...
SEC creates new division of risk, strategy; will work with Britain on hedge fund rules The Securities and Exchange Commission has merged several offices and functions to create a division of risk, strategy and financial innovation. The new division will be headed ...
John Gutfreund's Gut Feeling As BusinessWeek went to press on Aug. 26, the Dow had been gaining for six consecutive sessions, President Obama had nominated Ben Bernanke to a second term as Federal Reserve chairman, and there were modest signs of life ...
WASHINGTON (Reuters) - U.S. regulators warned broker-dealer firms about creating incentives that may lead their brokers to engage in questionable conduct such as recommending unsuitable investment products, the Securities and Exchange Commission said on Monday. "Certain forms of potential compensation may carry ...
(Reuters) - Getting better access to information on derivative transactions was a "critical" factor in U.S. regulators' efforts to curb market abuses, Securities and Exchange Commission Chairman Mary Schapiro told Bloomberg in an interview. Regulators needed information "that allows us to construct ...
WASHINGTON (Reuters) - Wall Street's top cop has a lot to prove and its been taking no prisoners. After enduring a thorough thrashing for its supervision of the now-defunct Bear Stearns and missing Bernard Madoff's $65 billion fraud, the Securities and Exchange ...
MILLISECOND MISCHIEF? The rival stock trader who beat you to the punch was probably a computer, but it may soon get reined in. On Aug. 4, SEC Chairman Mary Schapiro said her staff would scrutinize "flash orders," a way for select traders ...
