Regulation

The Securities and Exchange Commission charged an Austin energy company with bribing a broker to manipulate the price of its stock.

Private fund advisors with more than $1 billion in assets under supervision have a greater need for monitoring, especially after lessons learned during the recent financial crisis, according to the Securities and Exchange Commission.

The Securities and Exchange Commission charged an Austin energy company with bribing a broker to manipulate the price of its stock.

The Securities and Exchange Commission reportedly is seeking documents from the Massachusetts’ Treasury Department in reference to its relationship with Goldman, Sachs & Co.

The Obama administration will not make its Jan. 31st deadline for proposing reforms to the government-sponsored enterprises, an administration official said Monday.

The SEC’s recommendation didn’t lay out a timeline or a framework, but now the ball is in motion, observers say.

A study released by the Securities and Exchange Commission Saturday has recommended that a single fiduciary standard be created for brokers and investment advisers.

The much-anticipated study found that many investors are confused about the roles of brokers and advisors and are unsure of their protections when they receive advice. The study recommended a new standard would simplify the client experience.

Is this really no big deal for bank advisors?

The number of securities lawsuits filed in 2010 increased, despite a drop in new suits related to the credit crisis, according to a new report.