Securities

U.S. investment outflow reaches record

By Kasia Klimasinska, Bloomberg | August 15, 2014

The U.S. posted a record cross-border investment outflow in June as China and Japan.

Fed sees avoiding unprecedented losses by holding mortgage bonds

By Joshua Zumbrun, Bloomberg | October 28, 2013

The Federal Reserve can avoid unprecedented losses by never selling mortgage-backed securities from its record $3.84 trillion balance sheet, according to updated estimates by Fed economists in Washington.

Stanford suits questioned in high court securities clash

By Greg Stohr, Bloomberg | October 7, 2013

The U.S. Supreme Court debated the reach of the federal securities laws, questioning whether investors can sue law firms and outside companies for their alleged roles in R. Allen Stanford’s $7 billion Ponzi scheme.

The Blotter: FINRA joins exchanges in fining Newedge

By Ginger Szala | July 19, 2013

A wrap-up of regulatory and enforcement actions taken around the trading world, including the SEC obtaining a $13.9 million penalty against Rajat Gupta.

Gupta ordered to pay $13.9 million in insider-trading case

By Joshua Gallu, Bloomberg | July 18, 2013

Rajat Gupta, the former Goldman Sachs Group Inc. director who was found guilty of passing confidential tips to jailed billionaire hedge-fund manager Raj Rajaratnam, was ordered to pay $13.9 million in a related U.S. regulatory lawsuit.

SEC said near proposal on CEO-to-worker pay disclosures

By Dave Michaels, Bloomberg | July 17, 2013

Public companies reportedly would be required to disclose how much more their chief executives are paid than rank-and-file workers.

ICE said to hold investor swaps clearing after SEC rule

By Matthew Leising | March 20, 2013

Intercontinental Exchange Inc. has put on hold plans to clear some credit-default swaps for hedge funds and money managers.

Deutsche Bank accused of hiding securities losses by ex-employee

By Nicholas Comfort, Bloomberg | December 6, 2012

Eric Ben-Artzi, a former quantitative risk analyst for Deutsche Bank AG, alleged that Europe’s biggest lender engaged in a multibillion-dollar securities violation. Deutsche Bank denied the allegation.

Argentina plans overhaul of market rules to spur investments

By Camila Russo and Silvia Martinez, Bloomberg | October 23, 2012

Argentina’s government plans to overhaul securities regulation including increasing credit rating oversight and requiring insurers to invest more in productive and infrastructure projects.

Schapiro money-fund failure marks diminished role for SEC

By Joshua Gallu and Robert Schmidt, Bloomberg | October 19, 2012

What Mary Schapiro considered her most important task had just run aground, a symbol of the aspirations and missed opportunities of her tenure as head of the U.S. Securities and Exchange Commission.

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