The SEC may charge Standard & Poor's with breaking federal security laws in its rating of a 2007 CDO.
SEC files subpoena enforcement action against Deloitte
Clients of Axa-Rosenberg lost $217 million because its co-founder concealed an error in one of its models, regulator says
SEC's former general counsel David Becker inherited $2 million account with Ponzi fraudster
CFTC commissioner says agency received a wake-up call when one SEC rule was booted out by the US appeals court
Citi ramps up listed and over-the-counter clearing
The fixed-income flash crash
End of term for longest-serving US regulator
$52 million fraud misused investor capital, SEC claims
Replaces Bruce Thompson, who becomes chief financial officer
Court favours insider-trading suspicions in Arch Chemicals case
Triggering alarm bells
The appearance of the Sef Clarification Act last month, coupled with a changing mood in Washington, DC, has given rise to a more positive outlook among e-commerce experts
Reforms to $1.59 trillion tri-party repo market are set to miss industry deadlines, and could now spill into 2012
Libor in a fix?
Crop of the props
Jeffrey Lowrance charged with using investor funds in a Ponzi scheme to fund start-up newspaper
Lee Farkas, former chair of TBW, has been sentenced to 30 years and ordered to pay back $38.5 million
JPMS rigged at least 93 municipal bond reinvestment transactions in 31 states, SEC says
The US Securities and Exchange Commission has published the results of its latest investigation into the selling of structured products, two days after Finra warned 'greedy' investors to take care
Banks considering a variety of measures to identify proprietary trading and so meet the requirements of the Volcker rule, but none is foolproof, say dealers
CFTC finalises new Dodd-Frank anti-manipulation rule but energy experts continue to question its value
Some lawyers claim the CFTC and SEC may not have power to delay enforcement of the Dodd-Frank Act – a grey area that could lead to disputes
Efforts by Western regulators to monitor financial institutions are nonsensical and overambitious according to Jim O'Neill. He said emerging markets are the future of global economic growth.