Securities and Exchange Commission (SEC)
The Hartford appoints Rupp as chief risk officer
Fortune 500 group The Hartford appoints new executive vice-president and chief risk officer
CFTC will publish its own Volcker rule language, says Sommers
Supervisor will publish its own Volcker rule for consultation – although little progress has been made so far, says CFTC commissioner
Citigroup settles CDO charges for $285 million
The SEC has ordered Citigroup to pay $285 million to settle charges relating to a short position taken against its own CDO investors
Esma outlines aims for regulatory consistency
Consistent effort
SEC charges former UCB executives with misleading investors
SEC charges former UCB executives with failing to disclose losses that led to the bank crashing in 2009
Former hedge fund manager settles charges in Galleon insider-trading case
Former hedge fund manager Steven Fortuna will pay $300,000 to settle charges in the Galleon Management insider-trading case
US regulators ask DOE lab to study flash-crash forecasting tool
US regulators enlist Department of Energy computing power to analyse metric that aims to predict catastrophic market events
Washington watchdog sues SEC for destroying investigative files
Government watchdog CREW has sued the SEC and its chair Mary Schapiro for purging documents related to probes of suspected wrongdoing at financial institutions
SEC report reveals failings at top three rating agencies
A report released by the US SEC reveals S&P, Moody's and Fitch all still have significant failings in their operations
CFTC and SEC facing legal anxiety over cost-benefit analyses
Cost-benefit paralysis
RBC Capital to pay $30.4 million to settle charges
RBC Capital is charged with misconduct in the sale of CDOs by the SEC
SEC could sue Standard & Poor's over faulty CDO rating
The SEC may charge Standard & Poor's with breaking federal security laws in its rating of a 2007 CDO.
SEC files subpoena enforcement action against Deloitte
SEC files subpoena enforcement action against Deloitte
Axa Rosenberg clients 'betrayed' by co-founder
Clients of Axa-Rosenberg lost $217 million because its co-founder concealed an error in one of its models, regulator says
SEC's Schapiro under fire in Madoff conflict case
SEC's former general counsel David Becker inherited $2 million account with Ponzi fraudster
CFTC 'needs to do better job' of weighing Dodd-Frank costs, says O’Malia
CFTC commissioner says agency received a wake-up call when one SEC rule was booted out by the US appeals court
People: Citi ramps up listed and OTC clearing
Citi ramps up listed and over-the-counter clearing
OTC flash crash: Dealers consider risks of HFT invasion
The fixed-income flash crash
SEC reveals fraud and abuse after Finra warns greedy investors
Triggering alarm bells
BoA appoints Laughlin as chief risk officer
Replaces Bruce Thompson, who becomes chief financial officer
SEC commissioner Casey steps down
End of term for longest-serving US regulator
SEC obtains restraining order against Select Asset Management
$52 million fraud misused investor capital, SEC claims
SEC freezes $32.5 million of Swiss entities' assets
Court favours insider-trading suspicions in Arch Chemicals case
New proposals could take the sting out of Sefs, say industry experts
The appearance of the Sef Clarification Act last month, coupled with a changing mood in Washington, DC, has given rise to a more positive outlook among e-commerce experts