Securities and Exchange Commission (SEC)
Kroeker officially takes over SEC chief accountant role
James Kroeker has been appointed chief accountant at the US Securities and Exchange Commission (SEC), after having held the role on an interim basis since January.
CFTC and SEC plan meetings to co-ordinate activities
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) will hold joint meetings in September to address regulatory overlaps, and streamline regulation of financial instruments.
SEC shortlists two measures to prevent abusive short selling
The US Securities and Exchange Commission (SEC) named its two preferred measures for preventing abusive short selling on August 17.
SEC mulls new short-selling rules
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SEC to set up specialised detection units
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SEC to set up specialised detection units
The US Securities and Exchange Commission (SEC) will set up five specialised units to detect financial criminals more efficiently, following criticisms its examiners are not equipped to deal with complex financial cases.
US legislation for OTC derivatives market published
The US Treasury has published draft legislation detailing its plans to fully regulate over-the-counter (OTC) derivatives markets and mandate central clearing for all standardised bilaterally negotiated contracts.
Schapiro wants a self-funding SEC
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FSA investigates high-frequency trading
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US SEC charges 11 with insider trading
Losses & Lawsuits
Hedge fund manager in fraud investigation
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Regulatory turf war hits Congress
A battle for influence among US financial regulators broke out in Congress on July 24, as they testified before a Congressional committee on the merits of the Obama administration's proposals for regulatory reform.
Investor panel urges reform of US financial markets
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US Treasury issues fact sheet on hedge fund regulatory reform
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SEC inspections head resigns
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SEC considers asking banks to justify director appointments
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SEC approves executive pay disclosure rules
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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.