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By Silla Brush, Bloomberg |
May 21, 2013
Top executives of the two largest U.S. derivatives exchanges say regulators must take further steps to align Dodd-Frank Act rules with those of foreign counterparts to avoid oversight splits that could harm markets.
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By Press Release |
May 16, 2013
The regulator says Charles J. Dushek and Charles S. Dushek mixed funds with clients and allocated winning trades to personal accounts.
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By Press Release |
May 7, 2013
The SEC charged four individuals with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit bribes.
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By Silla Brush and Jim Brunsden, Bloomberg |
May 7, 2013
U.S. regulators face renewed pressure from congressional lawmakers to ease Dodd-Frank Act derivatives requirements amid mounting criticism from Wall Street and overseas officials that the rules overreach.
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By Nina Mehta and Nikolaj Gammeltoft |
May 6, 2013
BOX Options Exchange will be the first to begin trading larger-size contracts on the most-active U.S. equity derivatives product.
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By Silla Brush and Dave Michaels |
May 1, 2013
JPMorgan Chase & Co., Goldman Sachs Group Inc. and other U.S. swap dealers could gain limits on the Dodd-Frank Act’s reach for overseas trades.
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By Press Release |
April 29, 2013
Greenwich, Conn.-based Level Global Investors LP has settled charges its co-founder engaged in insider trading in Dell Inc. and Nvidia Corp.
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By Dave Michaels and Joshua Gallu |
April 26, 2013
Congress getting restless on SEC's "slow-walk" to get rule adopted
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By Joshua Gallu |
April 26, 2013
George Canellos, co-chief of the U.S. Securities and Exchange Commission’s enforcement division, said investigators are turning their focus to enforcing new regulations from the 2010 Dodd-Frank Act.
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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.
