Search for SEC and
  1. 10 hours ago

    Asset managers may escape systemic label

    Large asset managers, including BlackRock and Fidelity, have for now escaped being labelled ‘systemically important’ as...

  2. July 28, 2014

    Smith & Wesson hit by bribery penalty

    Smith & Wesson, the US firearms manufacturer, has paid more than $2m to the Securities and Exchange Commission for allegedly...

Special Reports

  1. FT 300 Top Registered Investment Advisers

    The inaugural edition of the FT 300 list begins by asking what makes a top-quality adviser...
  2. Special Report: Investing for the Future

    In the fourth part of our series examining the relationship between institutional inve...
Search more Special Reports on this topic.

  1. July 28, 2014

    Virgin America files for IPO

    Virgin America, the California-based airline partly owned by Sir Richard Branson’s Virgin Group, has announced plans for an...

  2. July 28, 2014

    New money market fund rules risk backfire

    It is irritating enough here in the US to have to pay $2 or more to get money out of a cash machine, if there happens not to...

  3. July 25, 2014

    Citi pays $5m to settle SEC data charges

    Citigroup will pay a record fine to settle charges that it failed to protect confidential equity trading data in the latest...

  4. July 24, 2014

    Morgan Stanley pays $275m to settle SEC mortgage securities case

    Morgan Stanley became the latest and likely last bank to settle with the Securities and Exchange Commission for allegedly...

  5. July 23, 2014

    S&P faces securities fraud charges over mortgage ratings

    Standard & Poor’s may face securities fraud charges for ratings given to six commercial mortgage-backed securities issued in...

  6. FT Alphaville

    July 23, 2014

    The Closer

    FURTHER FURTHER READING - Another false alarm on US inflation? - A dearth in innovation for key drugs. - Should the US...

  7. July 23, 2014

    US approves money market funds reform

    The US on Wednesday approved new rules on money market funds in a bid to prevent future runs on the investments, amid...

  8. July 21, 2014

    Barclays ‘dark pool’ trades dry up after high-frequency suit in US

    Clients are fleeing Barclays’ “dark pool” in the wake of a US lawsuit alleging the UK bank misled them about high frequency...

  9. July 21, 2014

    Fund managers on alert over money market shake-up

    Fund managers are jostling to keep hold of $900bn of assets that could be shaken loose by new US rules on money markets...

  10. July 20, 2014

    Asset managers tight-lipped on dark pools

    Dark pools have seemingly lived up to their name as murky trading venues after an increase in regulatory action against them...

  11. July 17, 2014

    Alibaba NYSE debut slides beyond August

    Alibaba’s hotly anticipated initial public offering – which is expected to be among the largest ever stock market listings –...

  12. July 17, 2014

    US authorities charge seven over ‘pump and dump’ scheme

    Seven people, including the ex-husband of a former star of The Sopranos television series, were charged with allegedly...

  13. July 15, 2014

    Chris Dodd reaffirms push for single US prudential regulator

    Chris Dodd, the former US senator responsible for the landmark Dodd-Frank financial reform bill, said the idea of paring...

  14. July 14, 2014

    US securities sector in push to cut fees

    The US securities industry has called on regulators to change its rules and cut or abolish the fees that exchanges charge...

  15. July 13, 2014

    SEC considers exit fees and gates for MMFs

    US regulators are close to agreeing long-delayed new rules for the $2.6tn money market fund industry to help avert a repeat...

  16. July 12, 2014

    Alibaba filing puts value at $133bn

    Chinese ecommerce group Alibaba values itself at $133bn, up from $119bn in June, according to a US regulatory filing on...

  17. July 11, 2014

    SEC pulls the plug on trading of Cynk

    Cynk Technology, the mysterious, Belize-based social media company whose shares rocketed to a multibillion-dollar valuation...

  18. July 11, 2014

    Alibaba races to hit August IPO date

    Alibaba is racing against the clock to complete its landmark initial public offering within the next month, according to...

  19. July 8, 2014

    Exchanges urge overhaul of trading rules

    Market rules that have fuelled the need for speed in trading should be overhauled to restore investor confidence, stock...

  20. July 8, 2014

    IEX bumps up planned fundraising to $75m

    IEX Group, the US equity trading venue that aims to level the playing field between high-frequency traders and traditional...

  21. July 6, 2014

    Whistleblowers key to outing future Madoffs

    Almost five years to the day that Bernard Madoff was arrested at his Manhattan penthouse for running a $65bn Ponzi scheme,...

  22. July 1, 2014

    Goldman Sachs fined in dark pool debacle

    US regulators have fined Goldman Sachs $800,000 for failing to ensure that trades executed in the bank’s own trading venue...

  23. FT Alphaville

    July 1, 2014

    A mini-tender offer and a major loophole

    Lorne Albaum has developed a better version of “buy low, sell high”. It is buy really low — as in well below the market...

  24. June 27, 2014

    Share trades: Murky pools

    Inside Barclays’ US headquarters in Times Square, it was known as “The Franchise”. Starting in 2011, the goal of making The...

  25. June 26, 2014

    Momentum builds for dark pool reform

    Momentum is building for major reform of the way Wall Street brokers run their private equity exchanges, known as dark...

  26. FT Alphaville

    June 26, 2014

    Bonfire of the bond funds

      “Just imagine that a bond is a slice of cake, and you didn’t bake the cake, but every time you hand somebody a slice of...

  27. June 26, 2014

    SEC needs extra muscle to succeed

    Many of the 11,000-plus registered investment advisers would prefer an increasingly overwhelmed Securities and Exchange...

  28. June 25, 2014

    SEC plans to boost US small-cap stocks

    The main US stock market regulator plans a pilot scheme aimed at improving the liquidity of small-cap stocks as it considers...

  29. June 24, 2014

    Fired American Apparel founder attacks ‘hateful’ board

    Dov Charney, the founder of American Apparel, has accused the company’s board of mounting a “hateful” campaign against him...

  30. June 22, 2014

    Corporate governance: the resurgent activist

    The US Chamber of Commerce calls it “minoritarianism, the tyranny of a minority”. Dan Gallagher of the Securities and...

  31. June 22, 2014

    US companies pushed on political funds

    Increasing numbers of shareholders are demanding that US companies account for their political spending, as annual meetings...

  32. June 20, 2014

    Defining high-frequency trading’s US level of evil

    The Wall Street/Washington policy world tends to agree with its European counterparts that there is a worrying lack of...

  33. June 17, 2014

    US senators push for curbs on flash traders

    US senators stepped up their scrutiny of high-frequency trading at a congressional hearing on Tuesday, raising pressure on...

  34. June 12, 2014

    SEC commissioner calls on US regulators to end turf wars

    US regulators must end their turf wars, SEC commissioner Kara Stein said on Thursday, in a sweeping speech that criticised...

  35. June 12, 2014

    Dublin grows jittery over EU probe into ‘sweetheart’ tax deals

    The governor of California was joking. Or was he? At a breakfast last week in San Francisco, Jerry Brown admitted he was...

  36. June 11, 2014

    IDX Beat – futures industry regenerates

    It has always seemed apt to hold London’s main annual derivatives industry gathering down the street from the city’s...

  37. June 6, 2014

    Carl Icahn picks up a bargain at Family Dollar

    Billionaire investor Carl Icahn says he has found his latest bargain at a chain of dollar stores. Mr Icahn on Friday...

  38. June 6, 2014

    SEC exercises its muscle over ‘dark pools’

    The Securities and Exchange Commission has taken action against an operator of a “dark pool” trading venue and a...

Search for SEC and