Securities and Exchange Commission (SEC)
Vision on
Regulation
FSA to have new market abuse powers
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SEC chairman backs update to liquidity guidelines
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US-China commission warns of fraud risk
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SEC and EU start mutual recognition talks on exchange trading
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Nazareth resigns as SEC commissioner
The Securities and Exchange Commission (SEC) has confirmed that commissioner Annette Nazareth will step down from her role at the US regulator at the end of the month.
International regulators discuss interactive data timetable
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Wachovia declares $1.1 billion writedown for October
Wachovia has announced $1.1 billion in writedowns for the month of October, as the bank’s holdings in collateralised debt obligations (CDOs) and mortgage-backed securities (MBS) continue to lose value.
Morgan Stanley and Merrill Lynch reveal billions more subprime damage
The subprime crisis continues to deepen as Morgan Stanley and Merrill Lynch, two of the worst-affected US banks, reveal further damage - and an SEC investigation into Merrill Lynch.
Nazareth to leave SEC
Annette Nazareth, one of the commissioners of the US Securities and Exchange Commission, is to leave after nine years' service.
Rating agencies defend subprime role before Congress
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CFTC loses chief economist
James Overdahl, chief economist at the US Commodity Futures Trading Commission, has resigned to take a post at the Securities and Exchange Commission.
SEC passes new AS5 Sox auditing rules
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New SEC committee set up to examine financial reporting systems
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SEC issues new compliance alerts
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SEC issues new guidelines on 404
SEC clarifies on 404
NYSE struggles to implement Reg NMS on time
The New York Stock Exchange (NYSE) has failed to fully comply with the trading phase of Regulation National Market System (Reg NMS), which came into force yesterday.
A Ratings Quandary
The US Securities and Exchange Commission is set to hammer out several key provisions of the US Credit Rating Agency Reform Act, intended to increase transparency in the ratings industry. But some analysts are concerned the legislation could go too far.
US regulators outline rules on structured finance
Five US regulatory organisations have issued a statement of principles on dealing with the risks involved in complex structured financial products.
Is US BCP courting disaster?
The US authorities have fallen silent over business continuity management (BCM) of late, raising fears that the issue will slip down the American business agenda in 2007. Peter Madigan investigates