Tom Steinert-Threlkeld

The investment and trading services firm, known more for its marketing of derivative securities such as collateralized debt obligations, said it launched Derivatives Clearing Services, to provide worldwide clearing in trades of interest-rate, credit, foreign exchange, equity and commodity derivatives.

The Securities and Exchange Commission has begun to seek comment on the fiduciary standard of care that broker-dealers and investment advisers are to provide customers in giving advice about investing in securities.

Trades were made in UITs, closed-end and mutual funds by two Maryland brokers on behalf of 10 customers, FINRA charges.

Charles Boucher is leaving his post as chief information officer of the Securities and Exchange Commission, after 19 months.

NYSE Euronext said it will create a “market segment” that lists and trades bonds based on debt from international microfinance institutions.

Bring in Michael Bloomberg. He's going to be available in three more years. Tap him now, as the next SEC chairman.

The Securities and Exchange Commission said it effected an "emergency asset freeze" against a "purported fund manager" by the name of Daniel Spitzer, based in the U.S. Virgin Islands.

The reform bill that was agreed upon by House and Senate conferees today is not likely to resolve what activities get split off from banks and how other specifics of its provisions get implemented, financial industry executives said Friday.

The ICI is asking both high-frequency traders and dark pools for more information—and turning to the SEC for help.

The Securities Industry and Financial Markets Association Monday said the creation of a system of monitoring overall risks to the nation's financial industry could take one of eight forms, each of which would be costly.

More than 3,000 unwitting Canadians were fleeced of their retirement investments by four Canadians and two Florida men. The SEC's Denver office brought them in.

The Dow's panic-like drop of almost 1,000 points, spurred by concerns about Europe's ability to bail out Greece, had political statement written all over it as Congress continues ...