Regulation

The SEC has charged the CEO of Simran Capital Management with defrauding the largest public pension in the United States, among other clients.

ING announced that the share price on its IPO will be between $21.00 to $24.00 per share for a maximum of 64,166,667 shares of common stock offered.

Newly-minted Securities and Exchange Commission Chairman Mary Jo White is off and running. Somewhat.

The ranking Democrat on the House Financial Services Committee is making another push to charge advisors for SEC examinations.

The Bureau described the use of various senior designations as “extremely confusing for consumers,” noting that more than 50 different such designations are currently used to sell a wide variety of financial and insurance products.

"Once it is released it's going to be attacked. It's already being attacked, even though nobody really knows exactly what the rule will be," Ron Rhoades told reporters during a conference call on Thursday.

WASHINGTON — Rep. Keith Ellison, D-Minn., introduced a bill Wednesday that would establish a tax on the trading of stocks and other financial products.

Financial advisor candidates will need to pay more to take securities licensing exams starting June 1, the North American Securities Administrators Association announced.

Rep. Keith Ellison, D-Minn., introduced a bill Wednesday that would establish a tax on the trading of stocks and other financial products.

Mary Jo White, the first former prosecutor to serve as chairman of the U.S. Securities and Exchange Commission, has pledged to run a “bold and unrelenting” enforcement program at the agency charged with regulating Wall Street.