Search Results

The probe is the latest hurdle faced this year by Pimco, which is dealing with record redemptions at its main mutual fund and negative publicity.

Bill Grosss Pimco Total Return ETF is being investigated by the U.S. Securities and Exchange Commission over whether it artificially inflated asset prices to boost returns, according to the Wall Street Journal.

Barclays failed to enhance its compliance procedures after it bought Lehman Brothers Holdings Inc.s advisory business in 2008.

The SEC awarded more than $30 million to a whistle-blower in its largest payout from a program started in 2011 to encourage people to come forward with evidence of securities fraud.

Investors can now trade more than 180 ETFs online through Schwab with no charge.

The House Appropriations Committee delayed for one week its vote on the resolution, which would fund the government until Dec. 11 and keep the SEC's funding at its current level.

In a year when former National Security Agency contractor Edward Snowdens revelations about the collection of U.S. phone data have sparked privacy fears, data miners have been quietly using their tools to peek into Americas medicine cabinets.

Barbara Roper says that in her discussions with Mary Jo White, the SEC chief gives every impression that this [rulemaking] is also a personal priority for her.