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Securities and Exchange Commission

SEC chair says he’ll resign on inauguration day

1 min read

Trump Looks Ready to Shake Up the SEC. Why Wall Street Will Be Smiling.

Bill Alpert

2024-11-07T11:30:00Z

3 min read

Securities and Exchange Commission Regulation Politics Donald Trump

Franklin Templeton’s SEC probe disclosure hits stock

Rebecca Ungarino

2024-08-22T05:45:00Z

2 min read

Asset Management Franklin Templeton Regulation Securities and Exchange Commission

Jenny Johnson, president and CEO of Franklin Templeton

SEC Charges Carl Icahn and Icahn Enterprises. What We Know.

Emily Dattilo

2024-08-19T13:28:00Z

1 min read

Regulation Carl Icahn Securities and Exchange Commission

Neilson Barnard/Getty Images for New York Times

SEC charges Drive Planning and its CEO more than $300m ‘Ponzi Scheme’

2024-08-14T14:10:00Z

1 min read

Regulation Securities and Exchange Commission

Gary Gensler tells UK to set firm T+1 transition deadline

By Jeremy Chan

2024-06-21T07:00:00Z

3 min read

Trading T+1 Securities and Exchange Commission

New

FN100 Women in European Finance 2024

Shruti Tripathi Chopra

London Stock Exchange fires US employee after video of ‘racist’ altercation

‘I was considered the most junior person in the room’: Senior disabled finance workers on promotion battles and prejudiced attitudes

JPMorgan boss Jamie Dimon to meet chancellor Rachel Reeves ahead of Labour government’s first Budget

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Private equity giants near settlements with SEC over texting violations

Mengqi Sun

2024-05-28T10:34:00Z

3 min read

Private Equity KKR Carlyle Apollo Securities and Exchange Commission

US WhatsApp crackdown spreads to global banking regulators

By Justin Cash

2024-05-23T23:00:00Z

5 min read

Regulation FCA Securities and Exchange Commission Whatsapp

The SEC’s Gensler has an ambitious agenda. Will he have time to push it through?

2024-05-10T10:09:00Z

8 min read

Securities and Exchange Commission

SEC prepares to sue Robinhood over crypto unit

Alexander Osipovich

and

Denny Jacob

2024-05-07T06:58:00Z

4 min read

Robinhood Crypto Securities and Exchange Commission Regulation wsjfinance-markets wsjfinance

Regulators restart bid to curb bonus pay on Wall Street

Andrew Ackerman

2024-04-22T08:06:00Z

3 min read

Securities and Exchange Commission wsjfinance wsjfinance-ws EXCLUSIVE

Around 16 broker-dealers noted SEC probes into their communications

SEC nears settlement with financial services firms over WhatsApp

The latest settlement is likely to see firms finalising deals that would include an admission of wrongdoing and commitment to fixing the issues

Hundreds of staff are on call for the move to T+1, but will it be enough?

‘All hands on deck’ as banks rush to prepare for T+1

Across the market, firms are gearing up for a revolution in settlement times

Binance and founder Zhao Changpeng also face legal action from sister regulator the CFTC

SEC sues Binance for US securities violations

More than a dozen charges have been levied against Binance, which is also under scrutiny from the CFTC

Bank stock volatility probed for potential market manipulation

Biden administration to monitor short-selling pressures on healthy banks

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London lawyer dies after drinking toxic alcohol in Laos

Goldman Sachs names new ECM leadership in Europe after departures

The new boutique bank looking to grow to 130 dealmakers and take on the mid-market

Robert Jenrick’s wife Michal Berkner leaves McDermott Will & Emery

Sidley Austin raids Latham & Watkins for 10-lawyer team in London

On the Move

Trading Places: Goldman’s ECM shake-up, Latham’s latest raid

Sidley Austin raids Latham & Watkins for 10-lawyer team in London

CDPQ hires Sharon White to lead push in Europe

The Fintech Files: Gensler on the warpath, and meet ex-Bitstamp boss Julian Sawyer

By Alex Daniel

2023-02-14T14:01:25Z

4 min read

Securities and Exchange Commission The Fintech Files Crypto Fintech Standard Chartered Bitcoin Diversity Fintech Files Cryptocurrency Women in Finance

'This really should put everyone on notice in this marketplace', SEC boss says

Why the SEC halted public listing of crypto firms including Circle, eToro

2023-01-24T12:55:34Z

5 min read

Securities and Exchange Commission Crypto Regulation

How the SEC is using Sam Bankman-Fried’s interview blitz against him

By Alex Daniel

2022-12-13T16:39:45Z

3 min read

Securities and Exchange Commission Crypto Cryptocurrency FTX

SBF was arrested in the Bahamas on 12 December on eight criminal charges including wire fraud, according to an indictment from the US Attorney of the Southern District of New York

The Fintech Files: State Street is all-in on tokenisation – here’s why

By Alex Daniel

2022-10-04T12:12:37Z

4 min read

Securities and Exchange Commission The Fintech Files Crypto Bitcoin Fintech Files State Street Cryptocurrency European Commission Tokenisation

Crypto investment is ‘not on the cards’ for State Street

SEC’s Gensler backs commodities regulator oversight of crypto: ‘Let’s ensure that we don’t inadvertently undermine securities laws’

2022-09-08T16:10:41Z

2 min read

Securities and Exchange Commission Regulation Cryptocurrency CFTC

Securities and Exchange Commission

SEC chair says he’ll resign on inauguration day

Trump Looks Ready to Shake Up the SEC. Why Wall Street Will Be Smiling.

Franklin Templeton’s SEC probe disclosure hits stock

SEC Charges Carl Icahn and Icahn Enterprises. What We Know.

SEC charges Drive Planning and its CEO more than $300m ‘Ponzi Scheme’

Gary Gensler tells UK to set firm T+1 transition deadline

Shruti Tripathi Chopra

London Stock Exchange fires US employee after video of ‘racist’ altercation

‘I was considered the most junior person in the room’: Senior disabled finance workers on promotion battles and prejudiced attitudes

JPMorgan boss Jamie Dimon to meet chancellor Rachel Reeves ahead of Labour government’s first Budget

Private equity giants near settlements with SEC over texting violations

US WhatsApp crackdown spreads to global banking regulators

The SEC’s Gensler has an ambitious agenda. Will he have time to push it through?

SEC prepares to sue Robinhood over crypto unit

Regulators restart bid to curb bonus pay on Wall Street

SEC nears settlement with financial services firms over WhatsApp

‘All hands on deck’ as banks rush to prepare for T+1

SEC sues Binance for US securities violations

Bank stock volatility probed for potential market manipulation

Most Read

London lawyer dies after drinking toxic alcohol in Laos

Goldman Sachs names new ECM leadership in Europe after departures

The new boutique bank looking to grow to 130 dealmakers and take on the mid-market

Robert Jenrick’s wife Michal Berkner leaves McDermott Will & Emery

Sidley Austin raids Latham & Watkins for 10-lawyer team in London

On the Move

Trading Places: Goldman’s ECM shake-up, Latham’s latest raid

Sidley Austin raids Latham & Watkins for 10-lawyer team in London

CDPQ hires Sharon White to lead push in Europe

The Fintech Files: Gensler on the warpath, and meet ex-Bitstamp boss Julian Sawyer

Why the SEC halted public listing of crypto firms including Circle, eToro

How the SEC is using Sam Bankman-Fried’s interview blitz against him

The Fintech Files: State Street is all-in on tokenisation – here’s why

SEC’s Gensler backs commodities regulator oversight of crypto: ‘Let’s ensure that we don’t inadvertently undermine securities laws’

FN Law

Robert Jenrick’s wife Michal Berkner leaves McDermott Will & Emery

Tributes paid to ‘talented’ lawyer who died in Laos poisoning

London lawyer dies after drinking toxic alcohol in Laos