Securities and Exchange Commission (SEC)
Passage of Dodd-Frank Act heralds start of rule-making process
Financial reform legislation passes in the US Senate, as focus turns to the complex issue of implementation
Goldman's $550m payment is latest in a line of settlements
Goldman pays $550 million to settle charges of misleading customers on Abacus CDO
Shell Gas chief: end-users will face credit issues - Exclusive
Shell Gas Direct’s chief tells Energy Risk that major end-users’ credit worthiness will be one of four major challenges for industrial and commercial users in the next few years
SEC and exchanges to implement market-wide halt mechanisms in bid to prevent another flash crash
ETFs were particularly badly hit during the flash crash that hit the US stock market on 6 May. This occured due to withdrawal of liquidity from the market and the industry is now working to prevent a repeat.
Dodd-Frank: Abolition of OTS will boost OCC
OTS and OCC light-touch supervision grew bank assessment fees but fed institutional collapses
Regulation to reshape bank funding
Contrasting regulation for buyers and issuers of bank paper is adding to stress in funding markets.
Are the CFTC, SEC and Fed equipped for their new powers?
Despite a last-minute hitch, the final text of ambitious financial regulatory reform legislation was agreed last month, which would hand supervisors sweeping new powers over financial institutions. But are regulators equipped for their new…
Dodd-Frank raises stakes in CFTC's push for energy position limits
With the Commodity Futures Trading Commission poised to implement position limits in energy markets, how will a dramatic expansion of the regulator’s power affect those plans? By John Ferry
More ETFs face SEC trade curbs
Exchange-traded funds (ETFs) will fall under new circuit breaker rules.
US regulatory changes weigh on consumer ABS
Analysts declare Talf a success but say consumer ABS growth could be hampered by regulatory and accounting uncertainty
Little progress on US regulatory reform as conference ends first week
Heated debate and vote interruptions slow the reconciliation process
Special regulation report from Houston
With the US set to unveil the largest set of financial regulation reforms of the past 30 years, Lianna Brinded reports from Houston, Texas, on how these changes will effect the energy and commodities industry.
Spotlight on Goldman
The US Securities and Exchange Commission filed a lawsuit against Goldman Sachs in April, alleging it had misled clients by not disclosing that a major hedge fund had helped select the underlying assets in a collateralised debt obligation and was…
Circuit breakers to stem NYSE trading falls
A 10% move in a stock price would trigger a pause in trading to prevent sudden falls
CFTC commissioner questions Senate ban on support for swaps
CFTC commissioner says Lincoln's proposal to ban federal support for swaps might not fly
Goldman preps for reputational fallout from CDO lawsuits
SEC civil action could prompt deluge of shareholder actions
Changing Hats, June 2010
Tracking the latest people moves in the op risk industry
Goldman Sachs to pay $450,000 fine for illegal short-selling
Bank's systems fail to comply with US regulations to control naked shorting
SEC reports it suspected Stanford Ponzi scheme since 1997
Officials at US regulator might have put Stanford case in the 'too-hard' box
Governance returns
Excessive risk-taking was a major cause of the recent meltdown in the financial markets. Time, then, for corporate governance to return in force