Securities and Exchange Commission (SEC)
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
Is SOX reform about to take off?
Peter Madigan investigates proposals for long-awaited changes to the Sarbanes-Oxley Act
SEC risk chief resigns
Charles Fishkin, head of the US Securities and Exchange Commission's Office of Risk Assessment, has resigned to join an asset-management firm.
International oversight needed for derivatives, say regulators
The complexity of the derivatives market means international regulation is the only way forward, according to the heads of three major regulatory agencies.
SEC proposes relaxation of Sarbox for foreign firms
The Securities and Exchange Commission (SEC) of the US has proposed a relaxation of the Sarbanes-Oxley rules, allowing foreign companies listing on US exchanges an extra year to comply with the regulations.
SEC decides not to appeal hedge fund setback
Christopher Cox, the chairman of the US Securities and Exchange Commission, will not appeal against a court decision limiting the regulator's ability to supervise hedge funds.