Securities and Exchange Commission (SEC)
Nordic horizons
Markets in the Nordic region have been far from immune from the troubles that have hit structured products across Europe. But speakers and delegates at the Structured Products Nordic Region conference spoke of light on the horizon - despite the pressing…
US Wrap: Tentative reverse convertible issuance from Citi
Citi issued two reverse convertible products in the US market yesterday in a cautious offering of the riskier structures. The notes link to the stock of either JP Morgan or Research in Motion, which makes BlackBerry devices, lasting one year and six…
Ex-Countrywide chief faces fraud charges
Losses & Lawsuits
Obama reform plans show no progress on OTC derivatives clearing
The Obama administration's much-hyped regulatory reform proposals disappointed over-the-counter derivatives dealers and end users yesterday by again failing to provide new details on how OTC markets with mandatory central clearing would operate.
Geithner: US Treasury 'will not cap pay'
Daily news headlines
SEC proposes pay disclosure beyond the board
Daily news headlines
Regulators review short-selling restrictions
Regulators from across the globe continue to review and adjust short-selling restrictions.
SEC investigates first CDS insider trading case
Losses and Lawsuits
SEC swoops on hedge funds
Losses and Lawsuits
Obama administration favours a single banking regulator
Daily news headlines
US arrests man for $7 million US Ponzi fraud
Daily news headlines
SEC charges brokers with CMO fraud
The US Securities and Exchange Commission (SEC) has charged 10 brokers from California-based Brookstreet Securities - a now-defunct broker-dealer - with fraud for mis-representing the risks involved in collateralised mortgage obligations (CMO) to…
SEC roundtable: circuit breakers most favoured short-selling rule
Participants favoured circuit breakers, which halt trading in volatile markets, over other proposed short-selling restrictions discussed at the US Securities and Exchange Commission's (SEC) roundtable on May 5.
First insider-trading case for CDS market
On May 5, the US Securities and Exchange Commission (SEC) filed the first civil action for insider trading involving credit default swaps (CDS).
La Meer launches integrated operational risk software for hedge funds
Daily news headlines
Holland & Knight sued over Nadel fraud
Losses and Lawsuits
SEC wants authority over hedge funds
Daily news headlines
SEC to host roundtable on short-selling regulation
Daily news headlines
Short-selling ban increased volatility more than credit crisis
The bans on short selling imposed in the US and Europe in 2008 had more effect on market volatility in off-limit stocks and equity markets than the financial crisis itself, a new study has concluded.
Cross returns to SEC as director of corporate finance
The US Securities and Exchange Commission (SEC) has appointed Meredith Cross as its new director of the corporate finance division.
Ice launches US CDS clearing service
Atlanta-based derivatives exchange IntercontinentalExchange (Ice) launched its credit default swap (CDS) central clearing platform on March 9 after receiving the green light from the Securities and Exchange Commission (SEC) on March 6.