Securities and Exchange Commission (SEC)
SEC fines LPL $275,000 over data protection
Losses & Lawsuits
No more investment banks, says SEC
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Cox calls for CDS controls
Christopher Cox, Chairman of the US Securities and Exchange Commission (SEC), has called for greater regulation of the credit default swaps (CDS) market.
Short selling ban could hit derivatives business
A short selling ban imposed by the US Securities and Exchange Commission (SEC) could result in reduced equity derivatives and structured products business for dealers.
SEC and FSA ban short selling on financials
The US Securities and Exchanges Committee (SEC) and UK Financial Services Authority (FSA) have both announced temporary bans on the short selling of financial stocks, as they look to halt the slide in bank equity prices.
US enhances enforcement and investor protection
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Two Credit Suisse brokers charged with ARS fraud
The US Securities and Exchange Commission (SEC) has accused two Credit Suisse brokers of duping their customers into buying more than $1 billion of subprime-backed auction rate securities (ARS).
Short sales climb in wake of SEC injunction lapse
The latest market data shows the Securities and Exchange Commission’s recent emergency order to prohibit naked short selling has curbed overall short-selling activity, despite mixed messages from other market barometers.
SEC fills commissioner positions
Troy Paredes and Luis Aguilar have joined the US Securities and Exchange Commission (SEC) as commissioners.
You've got mail
Emails are increasingly being used (and demanded) as evidence by US courts, and the implications of this are rippling around the globe. Ellen Davis looks at what international firms need to be doing with their email to ensure they can handle the changing…
US securities regulator extends emergency short-selling order
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SEC extends short-selling ban as hunt for rumour mongers intensifies
The US Securities and Exchange Commission (SEC) has extended its order prohibiting short-selling activity for another two weeks, as the regulator narrows its investigation into the source of market-manipulating rumours.
US regulators face Congressional pressure for risk reform
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Rating agencies conflicts of interests revealed in SEC report
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SEC bans naked short selling of financial stocks
The US Securities and Exchange Commission will ban naked shorting of the major banks and mortgage companies from next week, in a bid to counteract the rumours that have surrounded banks such as Lehman Brothers in recent days.
SEC cracks down on market abuse
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SEC says rating agencies failed to manage conflicts of interest
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SEC streamlines rules for self-regulation
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SEC moves to reduce reliance on credit ratings
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