Governance/Regulation & Compliance

SEC said to be examining the way in which electronic bond-trading platforms give different prices to different clients, potentially hurting smaller investors.

SEC said to be examining the way in which electronic bond-trading platforms give different prices to different clients, potentially hurting smaller investors.

Funding rules under consideration would be designed to prevent runs on broker-dealers.

Funding rules under consideration would be designed to prevent runs on broker-dealers.

Managing clerk at Simpson Thacher is accused of stealing confidential information on M&As, then passing it to a broker who traded for unfair profits.

Managing clerk at Simpson Thacher is accused of stealing confidential information on M&As, then passing it to a broker who traded for unfair profits.