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SEC moves against conflicts of interest in securitization transactions
Regulator adopts new rule to address conflicts of interest in the asset-backed securities market.
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SEC’s new rule seeks to mitigate conflicts of interest at clearing agencies
Move draws broad support but dissenting voice questions level of ‘micromanagement’.
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Opinion: Mark Uyeda offers a view of a meddling, inefficient regulator
Our US editor Julie DiMauro gives her observations on two thought-provoking speeches by the oft-dissenting SEC Commissioner.
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SEC faces fierce pushback on plan to police AI investment advice
Brokers, hedge funds and advisers say proposals are unnecessary and impossible to implement.
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Security-based swap execution facility registration? The SEC has rules
Adoption of framework designed to increase transparency and integrity, says regulator.
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SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
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SEC move on volume-based exchange transaction pricing prompts dissent over basis of ‘fears for tiers’
SEC proposes rule on volume-based exchange transaction pricing.
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SEC adopts rules to broaden scope of short-sale-related data for regulators and investing public
The SEC agreed to roll out new rules aimed at boosting transparency of short selling.