Accessibility helpSkip to navigationSkip to contentSkip to footer

Cookies on FT Sites

We use cookies for a number of reasons, such as keeping FT Sites reliable and secure, personalising content and ads, providing social media features and to analyse how our Sites are used.

Accept & continue
Manage cookies
  • Sign In
  • Subscribe
Open side navigation menuOpen search bar
Financial Times
SubscribeSign InmyFT
  • Home
  • World
    Sections
    • World Home
    • Global Economy
    • UK
    • US
    • China
    • Africa
    • Asia Pacific
    • Emerging Markets
    • Europe
    • War in Ukraine
    • Americas
    • Middle East & North Africa
    • Australia & NZ
    Most Read
    • Boris Johnson on the brink after Rishi Sunak and Sajid Javid quit UK cabinet
    • Nadhim Zahawi: rapid rise of Britain’s new chancellor
    • Crypto collapse reverberates widely among black American investors
    • The truth starts to catch up with Boris Johnson
    • Military briefing: how close is Russia to taking Donbas after the fall of Luhansk?
  • US
    Sections
    • US Home
    • US Economy
    • US Companies
    • US Politics & Policy
    Most Read
    • Crypto collapse reverberates widely among black American investors
    • US bond market flashes warning signal of economic slowdown
    • Oil prices turn sharply lower on fears recession will undercut demand
    • How the man behind the Apple Store presided over a Spac catastrophe
    • Archegos founder’s charity was financial ‘escape pod’, suit alleges
  • Companies
    Sections
    • Companies Home
    • Energy
    • Financials
    • Health
    • Industrials
    • Media
    • Professional Services
    • Retail & Consumer
    • Tech Sector
    • Telecoms
    • Transport
    Most Read
    • Warren Buffett-backed Chinese group BYD overtakes Tesla in global electric vehicle sales
    • BA flight cancellations and refuelling strikes set to bring more travel chaos
    • How the man behind the Apple Store presided over a Spac catastrophe
    • Archegos founder’s charity was financial ‘escape pod’, suit alleges
    • Property set to cool as investors face ‘new paradigm’, Brookfield warns
  • Tech
  • Markets
    Sections
    • Markets Home
    • Alphaville
    • Markets Data
    • Capital Markets
    • Commodities
    • Currencies
    • Equities
    • Fund Management
    • Trading
    • Moral Money
    • ETF Hub
    • Cryptocurrencies
    Most Read
    • Live news updates: Dollar retains strength and oil edges upwards as recession fears linger
    • US bond market flashes warning signal of economic slowdown
    • ECB’s crisis-fighting scheme risks being tied up in legal and political knots
    • Live news updates from July 5: Johnson on the brink after two top ministers quit, Oil prices tumble on recession fears
    • Foreign investors dump record $33bn of Indian stocks since October
  • Climate
  • Opinion
    Sections
    • Opinion Home
    • Columnists
    • The FT View
    • The Big Read
    • Lex
    • Obituaries
    • Letters
    Most Read
    • This is the endgame for Boris Johnson — but it may not be quick
    • Cryptocurrencies are not the new monetary system we need
    • A divided America can still lead the west
    • We must stop sleepwalking towards a surveillance state
    • What to wear to the office when it’s too hot to wear anything
  • Work & Careers
    Sections
    • Work & Careers Home
    • Business School Rankings
    • Business Education
    • Entrepreneurship
    • Recruitment
    • Business Books
    • Business Travel
    Most Read
    • Michael Lewis: ‘The thing that really works for Trump is: the system’s rigged’
    • Meet the founders with the boomerang factor
    • British Rail: A New History — a timely reminder of how to run a railway
    • Pop-up leaders and flexible staff are ready for a new crisis
    • Help truly wanted, even if you’ve been in jail
  • Life & Arts
    Sections
    • Life & Arts Home
    • Arts
    • Books
    • Food & Drink
    • FT Magazine
    • House & Home
    • Style
    • Travel
    • FT Globetrotter
    Most Read
    • Chess: Nepo wins Candidates again as Carlsen asks for new world title format
    • Swimsuits to make a splash in 
    • What to wear to the office when it’s too hot to wear anything
    • Should tenants be able to ask landlords for references?
    • Should you brave fuel queues and blackouts to keep holidaying in Sri Lanka?
  • HTSI
MenuSearch
  • Home
  • World
  • US
  • Companies
  • Tech
  • Markets
  • Climate
  • Opinion
  • Work & Careers
  • Life & Arts
  • HTSI
Financial Times
SubscribeSign In

Your guide to a disrupted world

Start a 4-week trial

US Securities and Exchange Commission

Add to myFT Digest

Add this topic to your myFT Digest for news straight to your inbox

  • Thursday, 30 June, 2022
    US Treasury bonds
    Treasury market reforms draw flak from funds and high-speed traders

    SEC proposal requiring dealer registration would increase capital requirements and scrutiny

  • Thursday, 30 June, 2022
    Cryptocurrencies
    Crypto fund Grayscale launches lawsuit after SEC rejects ETF plan

    Digital asset manager challenges rejection of application to convert $40bn trust into exchange traded fund

  • Tuesday, 28 June, 2022
    EY
    EY agrees record $100mn US settlement over ethics exam cheating

    SEC alleges ‘breaches of trust’ involving dozens of employees at Big Four audit firm

  • Friday, 24 June, 2022
    Banks
    Welcome to the bankers’ panopticon

    Paranoia over unapproved messaging will only create more problems for regulators.

  • Friday, 24 June, 2022
    InterviewCryptocurrencies
    SEC chair urges ‘one rule book’ for crypto to avoid gaps in oversight

    Gary Gensler seeks to share information with derivatives agency to better regulate digital assets

  • Wednesday, 22 June, 2022
    Fund management
    Index regulation is tricky but necessary

    The growing importance and influence of financial indices cannot be denied

  • Monday, 20 June, 2022
    Special ReportFTfm: ETFs and Asset Management
    Authorities push firms to clean up their greenwashing and net zero claims

    Financial regulators clamp down on companies misleading investors by overstating the greenness of their funds

  • Saturday, 18 June, 2022
    Climate change
    Corporate America seeks to halt SEC climate rule

    Regulator’s proposal would force companies to disclose carbon emissions and climate change risks for the first time

  • Friday, 17 June, 2022
    Moral Money
    How ESG strategies hurt emerging markets Premium content

    Plus, the comment period on the SEC’s big climate proposal comes to an end

  • Thursday, 16 June, 2022
    US financial regulation
    SEC looks at stricter rules for index providers

    S&P Global and MSCI could be reclassified as investment advisers by US regulator

  • Wednesday, 15 June, 2022
    Moral Money
    Gfanz kicks off carbon cutting proposal Premium content

    Plus, ‘ecocide’ prevention comes for banks and pension funds

  • Wednesday, 15 June, 2022
    Exchange traded funds
    SEC proposal on fund names looms over everything, not just ESG

    Names Rule amendments could have a particular impact on thematic ETFs, analysts say

  • Monday, 13 June, 2022
    Charles Schwab
    Charles Schwab to pay $187mn settlement to robo-adviser clients

    SEC slams ‘egregious’ allocations of customer money that extracted ‘hidden costs’

  • Monday, 13 June, 2022
    US financial regulation
    US unions accuse hedge funds of claiming ‘false’ alliance in battle against SEC rules

    AFL-CIO says they do not support activist investors opposed to post-Archegos transparency drive

  • Friday, 10 June, 2022
    Goldman Sachs Group
    SEC investigating Goldman Sachs for ESG claims

    US regulator has been putting more focus on potential ‘greenwashing’ in finance

  • Friday, 10 June, 2022
    Stablecoins
    US court orders Terraform Labs’ chief to comply with SEC subpoenas

    Do Kwon told to submit information on digital token trading network

  • Friday, 10 June, 2022
    Markets InsightSheila Bair
    Regulate stablecoins. Please!

    It is time for regulators to get creative and use their current powers to act

  • Thursday, 9 June, 2022
    Clearing and settlement
    Gensler’s gambit

    The SEC chair has unveiled a pretty punchy overhaul for the US equity market. Where will it bite?

  • Wednesday, 8 June, 2022
    US financial regulation
    SEC chief launches review of ‘uneven’ US equities market

    Gary Gensler’s plan to ‘do better for retail investors’ draws fire from brokers and trading firms

  • Wednesday, 8 June, 2022
    Lex
    SEC/stock trading: meme stocks are the mother of invention for Gary Gensler Premium content

    The commission chair plans an auction system that will force brokers to improve prices for end clients

  • Wednesday, 8 June, 2022
    Special ReportExchanges, Trading and Clearing
    SEC aims to stem trading practice of ‘payment for order flow’

    Regulators are asking whether retail investors are better off when brokers ‘sell on’ their trades to wholesalers, for a fee

  • Monday, 6 June, 2022
    SEC chair to set out overhaul of US equity market

    Proposals include new auctions to decide which trading groups handle retail investors’ orders

  • Wednesday, 1 June, 2022
    Fund management
    Investomania

    What fresh hell is this

  • Tuesday, 24 May, 2022
    Special purpose acquisition companies
    Blank-cheque companies restate accounts after US watchdog’s warnings

    Revisions to corporate financial reports rose 289% in 2021, with increase led by Spacs

  • Tuesday, 24 May, 2022
    ETF HubLatest news on ETFs
    SEC prepares to crack down on misleading ESG investment claims

    Pending rules come as funds repackage themselves for the $3tn ‘sustainable’ market

Previous page You are on page 1 Next page

Topics related to Govt/public service/NGO

Useful links

Support

View Site TipsHelp CentreContact UsAbout UsAccessibilitymyFT TourCareers

Legal & Privacy

Terms & ConditionsPrivacy PolicyCookiesCopyrightSlavery Statement & Policies

Services

Share News Tips SecurelyIndividual SubscriptionsGroup SubscriptionsRepublishingExecutive Job SearchAdvertise with the FTFollow the FT on TwitterFT ChannelsSecondary Schools

Tools

PortfolioToday's Newspaper (ePaper)Alerts HubBusiness School RankingsEnterprise ToolsNews feedNewslettersCurrency Converter

Community & Events

FT CommunityFT LiveFT ForumsFT Board DirectorBoard Director Programme

More from the FT Group

Markets data delayed by at least 15 minutes. © THE FINANCIAL TIMES LTD 2022. FT and ‘Financial Times’ are trademarks of The Financial Times Ltd.
The Financial Times and its journalism are subject to a self-regulation regime under the FT Editorial Code of Practice.
Financial Times

International Edition

Subscribe for full access
  • Switch to UK Edition
  • Top sections
  • Home
  • World
    • Global Economy
    • UK
    • US
    • China
    • Africa
    • Asia Pacific
    • Emerging Markets
    • Europe
    • War in Ukraine
    • Americas
    • Middle East & North Africa
    • Australia & NZ
  • US
    • US Economy
    • US Companies
    • US Politics & Policy
  • Companies
    • Energy
    • Financials
    • Health
    • Industrials
    • Media
    • Professional Services
    • Retail & Consumer
    • Tech Sector
    • Telecoms
    • Transport
  • Tech
  • Markets
    • Alphaville
    • Markets Data
    • Capital Markets
    • Commodities
    • Currencies
    • Equities
    • Fund Management
    • Trading
    • Moral Money
    • ETF Hub
    • Cryptocurrencies
  • Climate
  • Opinion
    • Columnists
    • The FT View
    • The Big Read
    • Lex
    • Obituaries
    • Letters
  • Work & Careers
    • Business School Rankings
    • Business Education
    • Entrepreneurship
    • Recruitment
    • Business Books
    • Business Travel
  • Life & Arts
    • Arts
    • Books
    • Food & Drink
    • FT Magazine
    • House & Home
    • Style
    • Travel
    • FT Globetrotter
  • Personal Finance
    • Property & Mortgages
    • Investments
    • Pensions
    • Tax
    • Banking & Savings
    • Advice & Comment
    • Next Act
  • HTSI
  • Special Reports
  • FT recommends
  • Lex
  • Alphaville
  • Lunch with the FT
  • FT Globetrotter
  • #techAsia
  • Moral Money
  • FTfm
  • Newsletters
  • Video
  • Podcasts
  • News feed
  • FT Community
    • FT Live
    • FT Forums
    • Board Director Programme
  • myFT
  • Portfolio
  • Today's Newspaper (ePaper)
  • Crossword
  • Our Apps
  • Help Centre
  • Subscribe
  • Sign In