Securities and Exchange Commission (SEC)
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.
Changing Hats, April 2011
The latest movers and shakers in operational risk
UBS faces investigations over Libor manipulation
Has received subpoenas from several international authorities
SEC charges hedge fund managers with abusing client assets
New York SEC director says two managers “violated the most fundamental duties of an investment adviser"
Experts discuss need for commodity speculation
Squeezing out speculative capital will affect commodity market liquidity, regulator must engage with market to prevent unintended consequences
AXA Rosenberg to pay $240m after failing to disclose coding errors
AXA Rosenberg pays $240m for failure to disclose code errors
SEC charges hedge fund four over insider dealing
Four US hedge fund managers accused of insider dealing
SEC charges IndyMac execs with securities fraud
SEC charges IndyMac three top execs with securities fraud
McKessy rejoins SEC to head whistleblower office
Former enforcement counsel named to head new office
SEC goes after IndyMac executives
Chief executive and two CFOs charged with fraud in run-up to mortgage lender's 2008 collapse
FDIC shows hand on remuneration rules
FDIC shows hand on remuneration rules
New York lawyer pleads guilty in Galleon insider-trading case
NY lawyer pleads guilty in Galleon case
Changing Hats, February 2011
The latest movers and shakers in operational risk