All Securities and Exchange Commission (SEC) articles – Page 3
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NewsUK and Australia agree post-Brexit regulatory co-operation
MoUs follow agreements with US and EU regulators as leaders prepare to discuss Article 50 extension
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NewsFCA finalises ‘no-deal’ rules as parliament rejects Brexit agreement again
UK regulator publishes final rulebook for EU exit transition and reaffirms information-sharing agreement with SEC
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AnalysisAnalysis: US proxy process under scrutiny – ESG under threat?
The SEC roundtable is bringing together stakeholders with diverging views on proxy advisers and shareholder voting. Sue Rust reports
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AnalysisAnalysis: Is it time to scrap quarterly reporting for listed companies?
A tweet from the US president has renewed a discussion about the pros and cons of three-month updates
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NewsEx-State Street transitions chief convicted of fraud
Hidden trade mark-ups helped generate $20m in “improper revenue” for the bank, according to US regulators
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News
Joseph Mariathasan: What to do about high-frequency trading?
Four years after Michael Lewis’s Flash Boys, questions about high-frequency trading remain
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NewsEU, US regulators clear path for MiFID II research provision
Providers based outside of the EU can continue to bundle research costs under certain circumstances
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News
Sweden’s regulator worried by Trump deregulation plan
Director Erik Thedéen raises concerns following US visit to SEC, IMF and Federal Reserve
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