Securities and exchange commission (sec)
Wells Fargo offers enhanced protection as resources and energy dominate...
Wells Fargo note offers guaranteed return of 7% plus principal as a raft of energy and natural resource-based reverse convertibles are filed with the SEC
Bank shares continue to form the basis of many structured product filings with the US Securities and Exchange Commission
SEC appoints James Burns as deputy director in trading and markets division
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More Securities and exchange commission (sec) articles
SEC appoints deputy chief of staff
SEC appoints Erica Williams as deputy chief of staff
No more Fed letter commitments expected, says Dudley
New York Fed will "stand down" as the CFTC and SEC "stand up", says New York Fed president
Financials and tourism the latest picks for US structured product underlyings...
Of the 91 structured products filed last week with the US Securities and Exchange Commission, more than 40 were reverse convertibles and nine were digitals. Financials and tourism were the most popular underlyings
SEC calls for greater pricing transparency for structured products
The US regulator's latest letter on structured products adds a new twist to the debate, calling for pricing disclosure
Structured Products Americas: Finra happy with looser definition of...
A senior Finra official argues that structured product complexity does not always mean greater risk
High-profile cases display new emphasis on FCPA compliance
The contrast between the US authorities' treatment of corruption at Wal-Mart and Morgan Stanley imply that regulators are focussing on compliance procedures
Bill to rein in CFTC's Sef proposals runs into trouble
A bipartisan attempt to clarify the scope of the Dodd-Frank Act – and limit the US Commodity Futures Trading Commission’s proposals on swap execution facilities – had been making rapid progress, raising hopes that trading platforms would have some...
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