Exchange-traded funds and fixed income mutual funds could potentially pose risks to the marketplace during times of stress, according to a report.» Read More
The man who runs the office that reviews companies' books at the U.S. SEC reported stock holdings of between $2 million and $6 million last year.
SEC's Commissioner Dan Gallagher discusses which stock and bond market regulations needs overhaul.
Congressman Jeb Hensarling criticized the SEC for leaks to the news media in a letter that was, well, leaked.
A U.S. judge on Tuesday reluctantly approved a $285 fraud settlement between Citigroup and the Securities and Exchange Commission.
The SEC conducted a dragnet to determine who inside the agency allegedly leaked information about the JP Morgan "London Whale" settlement.
A Republican congressman will pressure the Securities and Exchange Commission for reforms after Bill Ackman's efforts to take over Allergan.
Wall Street lobbyist SIFMA suggests changes to market structure that could make trading less complex and fragmented.
Efforts to reform dark pool stock trading likely got a lift from accusations this week leveled against Barclays.
Technology is being used in the bond market to the advantage of intermediaries but not for retail investors, SEC Chair Mary Jo White said Friday.
The U.S. Senate Permanent Subcommittee on Investigations will hold high-speed trading hearings tomorrow, but the lineup is strange.
The court said Judge Jed Rakoff was wrong to require the SEC to establish the "truth" as a condition of approving the deal.
Mary Jo White tells a House hearing that "the U.S. markets are the strongest and most reliable in the world," rebutting Michael Lewis' assertions in his book "Flash Boys: A Wall Street Revolt."
Mary Jo White, SEC Commission Chair, said new investigations will be launched. She said that the SEC was investigating on "emerging financial fraud."
As the U.S. SEC seeks to become a more formidable force in the courtroom, a string of trial defeats has exposed a weak spot: witness testimony.
The NYSE's Euronext unit has filed a plan with regulators to offer firms a "kill switch" that could cut off trading if preset levels were breached.
The SEC launches a new site on market structure to serve as a central location to share research.
A group of investors are asking U.S. Securities and Exchange Commission Chair Mary Jo White to ensure investment rights equality for gay couples.
Does it matter if you admit guilt if you're paying the fine? CNBC.com managing editor Allen Wastler ponders the question.
Consumer advocates are concerned that fiduciary standard rules won't be strong enough to protect consumers, while registered advisors fear that complex rules will favor bigger firms.
President Obama nominated Mary Jo White to lead the Securities and Exchange Commission, tapping an attorney with broad experience in prosecuting white-collar crimes to lead an agency that has a central role in implementing Wall Street reform.