Securities Broker Robinhood’s Fight Against Fiduciary Rule Before Massachusetts Court May 3, 2023 Massachusetts’ highest court on Wednesday will consider whether to revive a state fiduciary duty rule that was central to an...
Judge Invalidates Massachusetts Investment Advisor Rule in Win for Robinhood April 1, 2022 By Nate Raymond A Massachusetts judge on Wednesday dealt state securities regulators a major setback in their enforcement action against online brokerage Robinhood...
SEC Eyes Clawbacks of Executives’ Pay in Cases of Misconduct October 25, 2021 By Chris Prentice The new Democratic leadership of the U.S. securities watchdog has a message for Corporate America’s highly paid executives: if your...
JPMorgan to Pay $15.7M to Settle Spoofing Class Action September 24, 2021 By Chris Prentice and Jonathan Stempel JPMorgan Chase & Co. agreed to pay $15.7 million in cash to settle a class action lawsuit by investors who...
Securities Regulators Join Global Network to Explore SPACs September 1, 2021 By Kiuyan Wong Global regulators are teaming up to explore how to regulate blank check company listings after the vehicles earlier this year...
Securities Regulators Back International Climate Risk Disclosure Body February 11, 2021 By Huw Jones Global market regulators have thrown their weight behind plans for a new international standards body for company disclosures on climate...
Regulators Look to State Laws as Republicans Move to Change Dodd-Frank November 17, 2016 By Suzanne Barlyn and Tim McLaughlin State securities regulators said they may have to rely more heavily on local laws to police banks and finance companies...
House Pushes for More Economic Analysis of Securities Rules May 20, 2013 By Sarah N. Lynch A divided U.S. House of Representatives on Friday passed a Republican-sponsored bill that would force federal securities regulators to conduct...
SEC Weighs Exempting Insurance Companies from Volcker Rule March 7, 2012 By Dave Clarke and Sarah N. Lynch The top U.S. securities regulator said on Tuesday her agency is exploring whether insurance companies can qualify for a coveted...