Securities and Exchange Commission (SEC)
US SEC appoints deputy director of Office of International Affairs
Assistant director Fisher promoted to role
CFTC's Sommers and O'Malia attack 'unworkable' Volcker rule
Republicans dismiss prop trading ban as overly complex, unworkable and unenforceable
Fannie Mae CEO steps down
Williams to leave agency once replacement is found
Lookback
Lookback
July deadline in question for Volcker implementation
Industry experts divided over Volcker deadline of July 2012
CFTC "got it wrong" on block trade threshold rule
Large swap definition to be re-proposed following industry backlash
SEC charges against Fannie Mae and Freddie Mac execs are 'effort to rehabilitate reputation'
Securities fraud charges brought against former top executives seen by one legal expert as attempt by regulator to improve image
SEC's Office of International Affairs appoints new director
Eric Pan to oversee international regulatory policy at the agency
Federal judge's ruling could change prosecution of Wall Street
Legal experts see potential effects of Rakoff's SEC-Citi ruling for major banks' settlements
US buy-side 'systemic risk' form might be missing the point
Form PF and the debate on buy-side risk
US SEC shows off first results of new analysis programme
"Aberrational performance" detected in four funds
US judge rejects 'inadequate' settlement between SEC and Citi
Manhattan federal judge refuses to approve SEC settlement relating to Citi's negligence over 2007 CDO
Volcker rule delays likely as opposition grows
Rule may slip up to two years before full implementation, following criticism
Regulators increase pressure on individual negligence and crime
Getting personal
Long-time Madoff employee charged with fraud
SEC charges another Madoff executive for his role in the multi-billion dollar Ponzi scheme
SEC whistleblowing project pulls in seven tips a day
Foreign tips about financial crime unexpectedly common, ex-regulator says
OCC seeking change to rating ban in Dodd-Frank, reveals Walsh
Banking regulator talking to Congress about altering the Dodd-Frank Act to allow a limited use of credit ratings
Hedge fund managers charged in connection with multi-billion dollar Ponzi scheme
Two hedge fund managers have been charged by the SEC with facilitating a multi-billion dollar Ponzi scheme
UBS Securities fined $8 million for inaccurate recording practices
UBS Securities has been fined $8 million by the SEC for inaccurately recording 'locates' information
Flowers defends MF Global as a ‘prudently run’ securities firm, despite Chapter 11 filing
JC Flowers head says reliance on short-term funding is a weakness of whole securities industry – not just MF Global. He adds a worsening eurozone crisis could lead to investment opportunities in troubled banks
Energy Risk Trading positions – November 2011
Energy Risk catches up with the latest appointments, promotions and departures in global commodity markets
Sefs in stasis as final rules edge closer
Sefs in stasis
In defence of cross-product margining
In defence of cross-product margining
Risk USA: Tarp compensation restrictions are a "sideshow", says Feinberg
Former Tarp special master doubts limits will change compensation behaviour