Securities and Exchange Commission (SEC)
US and UK insider trading regulators diverge
Courts rein in SEC while FCA probes investors' poor safeguards
SEC names members of equity market advisory committee, and other recent job news
Twelve-strong advisory committee drawn from industry, academia and public interest groups
SEC report reveals chinks in managers' cyber defences
Broker-dealers better prepared than investment advisers
SEC guidelines on insider trading cases under fire
Appeals court reins in SEC over insider trading
One in 12 alternative firms to face SEC action
In 2013 SEC increased formal orders of investigations by 20%
New UK compliance chief for Credit Suisse, and other recent job news
James Coulson joins Swiss bank after 18 years at SocGen
SEC 'broken windows' policy draws new critics
Is the regulator's goal of trying to be everywhere feasible or even desirable?
Goldman hid swaps profits from clients, whistleblower claims
US bank accused of manipulating client valuation reports to mask profits
Research shows scale of regulatory 'revolving door'
What impact does the 'revolving door' have on regulatory independence?
Finra open to projections in structured products
Regulators and issuers at odds over backtesting versus projections
Internal compliance inertia leads to SEC fines for HSBC
$12.5 million fine for cross border activities with US clients
Zealous SEC enforcement 'exhausting' compliance teams
Former SEC deputy enforcement head warns of more prosecutions
'Revolving door' has one-way flow from regulation to industry
Data suggests regulators are 'schools' for private sector
SEC to focus on fair value in alternative mutual funds
Fund managers need to ensure internal controls are up to the mark
SEC rules against non-transparent active ETFs
Regulator blocks BlackRock and Precidian's request in landmark ruling
'Revolving door' unique to financial regulators
Regulators in other sectors more likely to stay in public service
Fines to rise as regulators continue to punish misconduct
Repeated conduct failures lead to increase in average penalty amount
Athena price manipulation fine highlights risks of HFT
SEC fines HFT firm $1m for using algorithms to sway Nasdaq closes
'Revolving door' in full swing at top regulators
Three-quarters of senior SEC regulators move into private sector
Swap reforms force best execution rethink
Arrival of limit order books means old policies may no longer cut it
CFTC gripped by fiscal year-end hiring frenzy
Agency races to add staff by September 30 amid budget uncertainty
Big data drives US regulator, says senior official
Advanced data analytics plays major role in SEC risk assessment
Barclays hit with £47m in fines from UK and US regulators
Bank admits to system and control failings over £17bn in client assets
SEC quants find signs of ‘cherry picking’ at US hedge funds
Some accounts given more winning trades than others, says senior regulator