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By Jay Gould |
April 18, 2013
There are a number of ways to become entangled in broker dealer registration requirements that many private equity funds (and some hedge funds) will need to consider.
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By Andrew Harris, Bloomberg |
April 16, 2013
Former MF Global Inc. broker Evan Brent Dooley was sentenced to 5 years in prison for making unlawful unauthorized trades that caused the now-defunct futures firm to lose more than $141 million in 2008.
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By Tiffany Kary, Bloomberg |
April 11, 2013
MF Global Holdings Ltd.’s lawyers and advisers shouldn’t get all of the $13.7 million in fees they’ve requested, as their billing was vague, repetitive, or improper, the U.S. said.
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By Lorraine Woellert, Craig Torres and Cheyenne Hopkins, Bloomberg |
April 10, 2013
Banks including Citigroup Inc. and Goldman Sachs Group Inc., along with congressional staff members and trade groups, received potentially market-moving Federal Reserve information 19 hours before the public.
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By Elizabeth Wasserman, Bloomberg |
April 10, 2013
A U.S. Senate leader asked the new Securities and Exchange Commission chairman to give more authoritative guidance to companies on disclosing cyber attacks, saying reporting so far is “insufficient.”
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By Craig Torres, Bloomberg |
April 9, 2013
Federal Reserve Bank of Richmond President Jeffrey Lacker said plans to limit the size or change the structure of the largest financial institutions must be made with the intent of allowing a failure without government aid.
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By Nina Mehta and Lindsey Rupp, Bloomberg |
April 8, 2013
Trying to reduce market disruptions, regulators are instituting a plan that creates price bands in which shares are allowed to trade on American equity exchanges, replacing the old system of immediate pauses when shares swing rapidly.
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By Liam Vaughan, Bloomberg |
April 2, 2013
The British Bankers’ Association, the lobby group that oversees Libor, said it will delay publishing banks’ individual submissions by three months in an effort to restore confidence in the benchmark rate.
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By Michael McFarlin |
March 29, 2013
New products, services and important announcements from around the trading world.
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By Press Release |
March 28, 2013
CFTC issues final order to exempt certain non-financial energy derivative transactions between government and/or cooperatively-owned electric utilities.
