Dave Michaels

The firm's proposal to briefly pause incoming orders is not likely a roadblock, according to Richard Ketchum.

Daniel Gallagher is resigning his post as a Republican member of the U.S. Securities and Exchange Commission after four years, a time marked by partisan battles over the regulatory response to the 2008 financial crisis.

FINRA is weighing whether to drop a plan for a trade-surveillance system that has drawn sharp opposition from the brokers that fund the agency.

Even before the details are out, Mary Jo White's move to insert the SEC into the debate on whether to tighten rules for brokers has given ammunition to both Wall Street firms and consumer groups in the biggest financial policy battle in Washington.

Wading into a battle between Wall Street and the White House, SEC Chair Mary Jo White said the agency will develop stricter rules for brokers.

There’s a gap between the White House and Wall Street’s main regulator over a push to tighten broker rules. To the investment industry, it’s an opening to exploit.

Two members of the SEC blasted the agency's decision to spare Oppenheimer Holdings from additional sanctions related to a recent settlement, saying regulators were turning a "blind eye" to the investment bank's pattern of misconduct.

New legislation would require retirement brokers to operate within fiduciary duty parameters, leaders say requirement would “throw the retirement system into chaos.”

Some brokers might be violating rules that require them to get the best prices for clients when they send stock orders to exchanges that offer rebates, regulators said in an outline of oversight priorities

The U.S. Securities and Exchange Commission is preparing a sweeping set of rules to target mutual funds whose rapid growth and migration into more complex strategies could pose risks to the financial system, the agency’s chairman said.

The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed, a proposal that may address complaints that the decisions are sometimes made against the client’s best interests.

A year ago, when opposition from the asset-management industry killed her plan to make money-market mutual funds safer, sec Chairman Mary Schapiro looked to Timothy Geithner, then the Treasury Secretary, to tackle “one of the pieces of unfinished business from the financial crisis.” It remains unfinished.

Investment pitches by entrepreneurs and hedge funds may get a higher public profile on television, through social media and even at sporting events following the lifting of an 80-year-old rule by U.S. securities regulators.

Two U.S. Senate aides nominated to join the Securities and Exchange Commission will get a confirmation hearing before the Senate Banking Committee on June 27, according to a Senate announcement today.

A top official for the Financial Industry Regulatory Authority resigned after the agency was informed he was indicted for felony theft and charitable bingo fraud in 1993, the year he joined the agency.

The Securities and Exchange Commission has improved how it justifies new regulations after at least five recent court defeats faulted its use of economic analysis, according to an audit by the agency’s inspector general.

Some of the U.S.’s largest providers of money-market mutual funds have sought a compromise on new regulation, making adoption of tougher rules for the $2.6 trillion industry more likely if far from a sure bet.

Kara M. Stein and Michael S. Piwowar, both senior U.S. Senate aides, were nominated by President Obama to join the SEC.

Securities and Exchange Commission chairman Mary Jo White is pushing to adopt a rule allowing hedge funds to advertise in a move consumer advocates say could fail to protect unsophisticated investors, according to two people familiar with the matter.

Mary Jo White was sworn in as SEC chairman and led a meeting where the agency approved rules requiring brokers and investment advisors to adopt identity-theft prevention programs.