Securities and Exchange Commission (SEC)

• People

SEC names new head of inspections

• 05 Jan 2010

• Operational risk

SEC charges new century execs in subprime fraud clampdown

• 04 Jan 2010

• Operational risk

SEC charges New Century executives in subprime fraud clampdown

• 09 Dec 2009

• Regulation

International supervisors discuss IFRS enforcement

• 07 Dec 2009

• Operational risk

SEC's Schapiro wants better, more harmonised advice for investors

• 04 Dec 2009

• Structured products

Breaking the chains

The need to diversify customer credit risk and the rising importance of fiduciary standards make open architecture distribution vital to structured products’ future. As advisers become concentrated in bigger institutions and market volumes remain static,…

• 03 Dec 2009

• Operational risk

Former SEC lawyer pleads guilty in Dreier fraud case

• 30 Nov 2009

• Trading systems

ATS operators wary of SEC dark liquidity proposal

• 25 Nov 2009

• Exchanges

US experts demand clarity on dark markets

• 04 Nov 2009

• Regulation

SEC charges stockbroker over $250 million ponzi scheme

• 02 Nov 2009

• Operational risk

US AMA investment banks seek convergence under Fed regulation

• 29 Oct 2009

• Regulation

Rajaratnam arrest triggers US insider-trading crackdown

• 20 Oct 2009

• Regulation

US derivatives reform bill passes House Financial Services Committee

• 16 Oct 2009

• Regulation

SEC charges stockbroker over $250 million Ponzi

The US regulator unearths yet another pyramid scheme fraud

• 02 Oct 2009

• Regulation

CFTC: capital and margin standards necessary for all derivatives dealers

• 24 Sep 2009

• Regulation

Senate Banking Committee produces rival US regulatory reform bid

Senator Dodd is preparing legislation that could scupper US Treasury plans

• 22 Sep 2009

• Regulation

SEC to ban flash trading

• 21 Sep 2009

• People

SEC names new market risk head

• 17 Sep 2009

• Regulation

CFTC and SEC discuss regulatory differences

• 04 Sep 2009