Securities and Exchange Commission (SEC)
SEC wants authority over hedge funds
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SEC to host roundtable on short-selling regulation
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Short-selling ban increased volatility more than credit crisis
The bans on short selling imposed in the US and Europe in 2008 had more effect on market volatility in off-limit stocks and equity markets than the financial crisis itself, a new study has concluded.
Cross returns to SEC as director of corporate finance
The US Securities and Exchange Commission (SEC) has appointed Meredith Cross as its new director of the corporate finance division.
Ice launches US CDS clearing service
Atlanta-based derivatives exchange IntercontinentalExchange (Ice) launched its credit default swap (CDS) central clearing platform on March 9 after receiving the green light from the Securities and Exchange Commission (SEC) on March 6.
Preparing for whistleblowing
Editor's blog
SEC to revamp whistle-blower process
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US Congress tackles risk reform
Regulatory News
SEC strikes deal with Madoff
Losses & Lawsuits
Merrill fined $1 million over conflicts of interest
Losses & Lawsuits
SEC charges two over $500m "brazen" fraud
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New SEC chair seeks to clean house
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SEC charges Stanford with $8 billion fraud
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SEC charges Stanford with fraud
The US Securities and Exchange Commission (SEC) has charged R Allen Stanford with orchestrating a fraud of a "shocking magnitude" via his asset management and broker-dealer advisory companies under the Stanford Group name.
SEC incompetence and secrecy over Madoff enrages Congress
The fraud examiner who spent eight years warning about Bernard Madoff's alleged Ponzi scheme has blamed institutional incompetence within the Securities and Exchange Commission (SEC).
Merrill Lynch fined $1 million for conflicts of interest; BoA picks up the tab
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SEC charges fugitive trader for hedge fund fraud
Losses & Lawsuits
SEC sues Blackstone exec for insider trading
Losses & Lawsuits
US agriculture committee plans to ban naked CDSs
The US House of Representatives Committee on Agriculture has published a draft bill seeking to limit the holding of credit default swap (CDS) contracts to market participants owning the bonds of the reference entity in question.
Quantitative tests pointed to Madoff fraud, says Riskdata
Sophisticated investors expressed shock at the alleged $50 billion fraud by New York-based broker and fund manager Bernard Madoff, yet even relatively simple quantitative analysis should have raised red flags, according to research by London-based…
Fund manager charged over 14-year-old Ponzi scheme
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GAO report calls for US regulatory reformation
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Kroeker steps up to succeed Hewitt at SEC
The US Securities and Exchange Commission has named James Kroeker to succeed Conrad Hewitt as acting chief accountant.
SEC in the dock as Congress investigates Madoff fraud
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