Securities and exchange commission (sec)
US SEC and Citigroup defend $75 million subprime settlement
UK FSA hits Goldman Sachs with £17.5 million reporting fine
More Securities and exchange commission (sec) articles
New Jersey adviser charged with multimillion-dollar fraud
Closure of SEC investigation into Moody's demonstration of the regulator's new powers under Dodd-Frank
Markit/DTCC joint venture will register as designated swap execution facility under US financial reform, despite having no plans for trade execution
US banks must consider disclosure rules for CEO and median pay packages
Admits is is likely to face enforcement action
The passing of the Dodd-Frank Act into US law signifies profound changes for banks and regulators. But how they should prepare now for the new legislation is still far from certain
US regulators are hiring more staff in preparation for Dodd-Frank changes
Now that the dust has settled after the extraordinary May 6 ‘Flash Crash’, Victor Anderson catches up with FTEN’s Valerie Bannert-Thurner to discuss how technology can help guard against futur...
US bank receives the largest fine the SEC has ever imposed on a financial entity
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.