SEC makes first whistleblower retaliation charge
The SEC has charged hedge fund advisory firm Paradigm Capital Management with retaliation against a whistleblower, marking the...
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Regulation Archive
SEC to develop ‘anti-disruptive trading rule’
The SEC is preparing a series of recommendations that would tighten oversight of high-frequency trading (HFT), better regulate...
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Overlapping regulators leads to glut of investigators, SEC chief says
Globalization, the international nature of securities, overlapping mandates and the increasing complexity of regulations have...
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Exxon and Shell ask SEC to speed up anti-bribery regulation
After winning a court victory that sent anti-bribery regulations back to the SEC, some of the world’s largest oil companies have...
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Faster, more accessible disclosure is needed, SEC says
The SEC, which is studying an overhaul of disclosure regulation, should push for faster disclosure that more directly addresses...
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SEC fines NYSE $4.5 mn for violating its own rules
The SEC has fined the NYSE $4.5 mn for violating its own rules and failing to comply with its responsibilities as a self...
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Tweets to investors don’t need disclaimers, SEC says
A concise communications writer may be able to pack plenty of information into a 140-character tweet to investors. But tweeting...
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Listed firms must have IR department, says UAE securities regulator
Companies must have investor relations departments to be eligible for listing on the securities market of the United Arab Emirates...
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The puritanical approach to regulation is hard to swallow
The grumpy hedonist and quote-meister HL Mencken defined Puritanism as ‘the haunting fear that someone, somewhere, may be happy’...
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European Parliament to vote on non-financial disclosure rules
Many large European companies may have to bolster their disclosure on environmental, social and diversity issues under an...
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