Securities and Exchange Commission (SEC)

• Operational risk

Former SEC lawyer pleads guilty in Dreier fraud case

• 30 Nov 2009

• Trading systems

ATS operators wary of SEC dark liquidity proposal

• 25 Nov 2009

• Exchanges

US experts demand clarity on dark markets

• 04 Nov 2009

• Regulation

SEC charges stockbroker over $250 million ponzi scheme

• 02 Nov 2009

• Operational risk

US AMA investment banks seek convergence under Fed regulation

• 29 Oct 2009

• Regulation

Rajaratnam arrest triggers US insider-trading crackdown

• 20 Oct 2009

• Regulation

US derivatives reform bill passes House Financial Services Committee

• 16 Oct 2009

• Regulation

SEC charges stockbroker over $250 million Ponzi

The US regulator unearths yet another pyramid scheme fraud

• 02 Oct 2009

• Regulation

CFTC: capital and margin standards necessary for all derivatives dealers

• 24 Sep 2009

• Regulation

Senate Banking Committee produces rival US regulatory reform bid

Senator Dodd is preparing legislation that could scupper US Treasury plans

• 22 Sep 2009

• Regulation

SEC to ban flash trading

• 21 Sep 2009

• People

SEC names new market risk head

• 17 Sep 2009

• Regulation

CFTC and SEC discuss regulatory differences

• 04 Sep 2009

• Regulation

Schapiro reprimands broker-dealers over remuneration

Daily news headlines

• 02 Sep 2009

• Regulation

SEC reveals preferred short-selling approaches

• 02 Sep 2009

• Regulation

CFTC and SEC meet to co-ordinate activities

• 02 Sep 2009

• Regulation

Madoff scandal prompts SEC to set up financial fraud taskforce

• 29 Aug 2009

• Regulation

Ernst & Young partner in insider-trading love triangle

• 27 Aug 2009

• Regulation

Madoff deputy pleads guilty

• 27 Aug 2009