Securities and Exchange Commission (SEC)
Swiss bank charged with undermining the competitive bid process of municipal securities
Through a glass darkly
More Securities and Exchange Commission (SEC) articles
Reaching too far?
The SEC and EU have announced tough measures designed to limit the influence of credit ratings on the investment process. Credit magazine talks to the agencies about their efforts to restore their r...
Will oversee a staff of about 300 responsible for the inspections of US-based broker-dealers
Regulators seek $1.4bn and $308m respectively, but $117m CFTC “user fee” apparently dropped
Collaborating for change
All MSPs and swap dealers to hold minimum $20 million under CFTC proposals
Agencies largely aligned, but conflicts remain after 10-month negotiation
Switch of assets to trading book and subsequent sales meant to limit Basel III capital impact, says Citi's CFO
SEC chair says Dodd-Frank Act should be adapted to fit markets
Three former brokerage executives at Tampa-based GunnAllen Financial have been charged with failing to protect confidential information about their customers. The US Securities and Exchange Commission...
SEC says actions of the two men "make it clear beyond any doubt they were involved in an illegal scheme"
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