Securities and Exchange Commission (SEC)
Fine from Finra is latest indicator of UBS's control and supervisory issues
Supervisor will publish its own Volcker rule for consultation – although little progress has been made so far, says CFTC commissioner
More Securities and Exchange Commission (SEC) articles
SEC charges former UCB executives with failing to disclose losses that led to the bank crashing in 2009
Former hedge fund manager Steven Fortuna will pay $300,000 to settle charges in the Galleon Management insider-trading case
US regulators enlist Department of Energy computing power to analyse metric that aims to predict catastrophic market events
Government watchdog CREW has sued the SEC and its chair Mary Schapiro for purging documents related to probes of suspected wrongdoing at financial institutions
A report released by the US SEC reveals S&P, Moody's and Fitch all still have significant failings in their operations
RBC Capital is charged with misconduct in the sale of CDOs by the SEC
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
CFTC commissioner says agency received a wake-up call when one SEC rule was booted out by the US appeals court
The fixed-income flash crash
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