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BNY Mellon agreed to pay $3 million to resolve a Massachusetts Securities Division investigation into a failure of its accounting system after an upgrade in 2015 led to inaccurate mutual fund pricing.

According to the meeting synopsis, SEC Chairwoman Mary Jo White and CFTC Chairman Timothy Massad discussed their agencies' strategies for ensuring cyber resiliency in the financial sector.

David Blass told the SEC's Investor Advisory Committee that the Department of Labor's fiduciary rule is already acting to deprive investors of financial advice.

Jay Clayton was sworn in as chairman of the SEC after the Senate voted 61 to 37 to approve President Trump's nomination.

OppenheimerFunds and Carlyle partnered to launch OFI Carlyle Private Credit Fund.

Corporate Restructuring and Bankruptcy partner Thomas T. Janover and special counsel David E. Blabey, Jr.'s article "Recent Court of Appeals Case Sheds Light on Scope of Champerty Doctrine,"...

A senior SEC enforcement official said companies withholding information about data breaches could face civil and criminal enforcement actions.

The SEC announced the creation of the Office of Risk and Strategy, led by Peter Driscoll, that will enhance the regulator's oversight of financial advisers.

The SEC issued a statement outlining how online trading platforms have become a popular option for investors to buy and sell digital assets, including coins and tokens offered and sold in ICOs.

The SEC named Keith Cassidy as director of the agency's Office of Legislative and Intergovernmental Affairs, succeeding Tim Henseler, who was named Office Chief in the Division of Corporation Finance's Office of Enforcement Liaison.

The SEC proposed a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships with investment advisers and broker-dealers...

The SEC Division of Economic and Risk Analysis (DERA) today published a report describing trends in primary securities issuance and secondary market liquidity, and assessing how...

The SEC named Marc Wyatt as director of the Office of Compliance Inspections and Examinations and leader of its National Exam Program.

With his selection of deal-making attorney Walter "Jay" Clayton to head the U.S. Securities and Exchange Commission, President-elect Donald Trump is signaling that the agency will try to reduce regulations...

Acting CFTC chairman J. Christopher Giancarlo announced the appointment of James McDonald as director of the agency's Enforcement Division.

The CFTC filed a federal court enforcement action, charging commodity fraud and misappropriation related to the ongoing solicitation of customers for a virtual currency known as My Big Coin (MBC).

The Office of Management and Budget approved a proposal to delay implementation of the remaining provisions in the Labor Department's fiduciary rule for 18 months.

The SEC's whistleblower program has now awarded more than $62 million to 28 whistleblowers since its inception in 2011.