Securities and Exchange Commission (SEC)
People: JP Morgan veteran Ina Drew quits after $2 billion trading loss
JP Morgan veteran Ina Drew quits after $2bn trading loss
The club no-one wants to join: swap dealer rules remain unclear
A club no-one wants to join
Wells Fargo offers enhanced protection as resources and energy dominate latest SEC filings
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
Financials back in vogue as basis for US structured products
Bank shares continue to form the basis of many structured product filings with the US Securities and Exchange Commission
Burns joins US SEC trading and markets
SEC appoints James Burns as deputy director in trading and markets division
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 complexity
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
The voice of reason?
The ETN that grew too fast
The ETN that grew too fast
House of the Year, Americas: Citi
Structured Products Americas Awards 2012
Structured Products Americas: SEC will turn up the heat on the market, says leading lawyer
The US SEC is highly sceptical of the structured products market and higher regulatory standards are on their way, says lawyer
New deputy enforcement head at SEC
New York office chief George Canellos moves to Washington, DC
People: Royal Bank of Scotland lets Stuff go
Royal Bank of Scotland lets Stuff go
Whistleblowers given more incentive in US than UK
When the whistle blows
Banks offer short-term plays on natural resources
Royal Bank of Canada leads the offering of short-maturity structured products in the US public market with 12 products, half of which have maturities of just three months
SEC appoints associate investment director
Blizzard replaces Robert Plaze
Sigtarp appoints special inspector general
Christy Romero appointed after approval from President and Senate
Market snapshot
Market snapshot
Technology, natural resources and banks fuel reverse convertibles rush
Fourteen reverse convertibles, mostly from UBS, one autocallable and two leveraged return notes make up the latest batch of structured products to be filed with the SEC
SEC subpoenas Wells Fargo in fraud investigation
Bank accused of failing to provide necessary evidence