Securities and Exchange Commission (SEC)
Dealers weigh Sef strategies
Day of the aggregators
New regulatory blitz threatens future of credit rating agencies
The SEC and EU have announced tough measures designed to limit the influence of credit ratings on the investment process. Credit magazine talks to the agencies about their efforts to restore their reputations, and asks investors about what role rating…
Firms face heightened op risk while implementing US CCP rules
Through a glass darkly
SEC charges three execs in California with boiler room fraud
mUrgent Corporation and three of its executives charged with $10 million fraud
UBS ordered to pay $160 million in fines by SEC
Swiss bank charged with undermining the competitive bid process of municipal securities
SEC appoints director for national broker-dealer examination programme
Will oversee a staff of about 300 responsible for the inspections of US-based broker-dealers
SEC appoints new RiskFin director
Craig Lewis to lead the SEC’s risk ‘think tank’
Rajaratnam: 'The Wire' meets Wall Street
OR&R speaks to lawyers on both sides of the Atlantic to divine the implications of the largest insider-trading conviction of all time
Trouble of removing ratings highlighted by SEC
SEC proposal to remove ratings shows difficulty ahead for other US regulators, including banking agencies
SEC and CFTC ask for more funds to meet Dodd-Frank workload
Regulators seek $1.4bn and $308m respectively, but $117m CFTC “user fee” apparently dropped
Sefs threaten dealer-client relationship
Execution fears
Inconsistency could lead to arbitrage
Consistency is key
SEC has flexibility on Dodd-Frank implementation, says Schapiro
Collaborating for change
$20 million capital hike for major swap participants
All MSPs and swap dealers to hold minimum $20 million under CFTC proposals
Splits emerge in CFTC and SEC swap product definition rules
Agencies largely aligned, but conflicts remain after 10-month negotiation
Citi’s Gerspach: $12.7 billion accounting switch was legit
Switch of assets to trading book and subsequent sales meant to limit Basel III capital impact, says Citi's CFO
CFTC and SEC could diverge on rules, says Schapiro
SEC chair says Dodd-Frank Act should be adapted to fit markets
SEC charges corporate lawyer and Wall Street trader with insider dealing
SEC says actions of the two men "make it clear beyond any doubt they were involved in an illegal scheme"
India's Satyam Computer Services charged with financial fraud
SEC accuses Indian computer company that serves more than a third of the Fortune 500 companies of overstating its income by $1 billion
Wells Fargo agrees $11 million SEC settlement over CDO sales
US SEC claims Wells Fargo Securities, formerly Wachovia Capital Markets, violated securities laws when selling CDOs tied to the ailing housing market
Special report: Dodd-Frank Act
Special report: Dodd-Frank Act
Special report – Weighing up Dodd-Frank
What Dodd-Frank means to us: industry participants
Over a third of $1 billion-plus hedge funds not yet registered with SEC
Hedge funds in the US have until July 21 to register with the SEC but Citigroup says over a third of the larger funds have not yet done so.