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By Press Release |
October 17, 2012
The SEC today voted unanimously to propose capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
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By Press Release |
June 28, 2012
The rules detail how clearing agencies will provide information to the SEC about security-based swaps that the clearing agencies plan to accept for clearing.
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By Thom Weidlich, Bloomberg |
April 7, 2012
A former New York commodities trader was sentenced to two years and four months in prison for threatening to kill federal financial regulators.
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By Press Release |
November 7, 2011
Appointed to the SEC by President Barack Obama on Oct. 24, 2011, Commissioner Daniel Gallagher returns to the agency where he previously worked for four years as a counsel.
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By Press Release |
October 30, 2011
SEC-registered investment advisers dually registered with the CFTC with at least $150 million in assets under management must periodically file a risk statement.
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By Press Release |
October 12, 2011
"This proposal is intended to curb the proprietary trading of commercial banks and their affiliates in order to protect taxpayers and consumers," says Chairman Mary L. Schapiro.
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By Press Release |
August 31, 2011
The SEC is seeking public comment on a wide range of issues raised by the use of derivatives by mutual funds and other investment companies.
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By Press Release |
July 26, 2011
The SEC says the information will enhance the agency’s ability to identify large market participants, collect information on their trading, and analyze their trading activity.
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By Press Release |
June 29, 2011
The SEC has voted to impose business standards on those who engage in security-based swap transactions.
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By Press Release |
June 22, 2011
The rules represent core provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding investment advisers.
