Securities and Exchange Commission (SEC)
SEC appoints chief information security officer
Todd Scharf made chief information security officer at the SEC
Schapiro resignation not linked to lawsuit, SEC says
SEC chair Mary Schapiro steps down a week after former inspector-general files $20 million lawsuit against the agency
SEC management under fire again in $20m lawsuit
Former chief investigator sues US regulator for harassment and unfair dismissal
Report blames Corzine’s strategy for MF Global collapse
Chief executive of collapsed broker at fault for risky strategy that destroyed company, House subcommittee says
CFTC still facing tough to-do list
Regulator has finalised 39 rules but 14 remain at proposal stage - including six that have been outstanding for more than 500 days
Dyson appointed deputy chief information officer at SEC
Dyson’s brief involves updating IT systems
OTC Derivatives Clearing Summit: Nearly a third of uncleared CDS are clearing-eligible
SEC study finds large portion of clearing-eligible CDS still trading bilaterally
Knight Capital losses spur focus on algo risk management
A dark Knight for algos
Fingerprint, aggregation fears hit swap dealer countdown
Prints and be damned
Anonymity for whistleblowers ‘may undermine programme’
Protecting whistleblowers is essential, says Sean McKessy, chief of the SEC's whistleblower programme
Publication of swap definitions triggers countdown to compliance deadline
The publication of swap definitions earlier this week initiates a 60-day countdown for compliance to key parts of the Dodd-Frank Act
New Esma ETF guidelines change the rules on securities lending in favour of synthetics
The latest European Securities and Markets Authority guidelines for Ucits ETFs will make life more difficult for physically backed ETFs and point to a growing acceptance of synthetic funds
Risk 25: The search for margin efficiency
Margin efficiency: The new battleground
Attempts at CDS portfolio margining in regulatory limbo
Dealers worry about the impact on liquidity unless single-name and index trades can be margined together
Finra warns investors about 'unpleasant surprises' in ETNs
Four months after the furore surrounding the Tvix exchange-traded note, Finra has responded by issuing an investor alert warning of the risks involved in the products
Quant Congress USA: Real-time audit trail unnecessary, says SEC chief economist
SEC chief economist says consolidated audit trail rule is strong enough, despite concerns from Democrats
Quant Congress USA: SEC using models to look for the next Madoff
A decision by the SEC to invest in quantitative research is paying off, with recent enforcements in the hedge fund space a result of warnings generated by models, says SEC chief economist
CFTC-SEC swap ruling starts Dodd-Frank compliance race
Publication of swap rule will mark start of 60-day countdown to compliance with registration, reporting rules. Industry will find it "quite challenging" warns CFTC's O'Malia
Cost-benefit defeat weighing on "gun-shy" SEC
Slowly but surely
UBS tops issuance with reverse convertibles linked to financials and natural resources
Financials, energy and natural resource stocks form the basis of most of the latest raft of reverse convertibles from UBS
UBS files riskiest products in latest SEC registrations
Reverse convertibles from UBS linked to Chesapeake Energy shares have the highest riskmap scores in the latest filings with the Securities and Exchange Commission
Kroeker leaves SEC for private sector
US regulator's chief accountant will step down next month
SEC names rating agency overseer
Credit rating agency oversight starts today