Securities and exchange commission (sec)
Fifty-two structured products were registered with the US Securities and Exchange Commission on March 7, maintaining the boost in issuance that began the previous day
SEC/CFTC Capital Markets Working Group could be "just another talking shop"
Expert predictions of delayed start date proven correct
More Securities and exchange commission (sec) articles
The US Commodity Futures Trading Commission (CFTC) is approaching a key point in the process of writing rules to implement the Dodd-Frank financial reform bill: its final definition of the terms 'swap dealer' and 'major swap participant'. Energy firms...
Douglas Whitman illegally profited from tips on Google and Polycom, SEC says
Margin efficiency is going to be key to both listed and OTC derivatives markets, but the equity market has been lagging - a result of regulatory opacity. Michael Watt talks to Mike McClain, executive vice-president and head of business development and...
The past year has seen the exchange-traded funds industry plagued by discussions about the relative complexity of synthetic and physical ETFs. Will the newly published European Securities and Markets Authority guidelines on the products put the matter...
UBSGAM settles SEC mispricing charges for $300,000
Assistant director Fisher promoted to role
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.
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