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Securities Regulation & Law Report

Bloomberg BNA’s Securities Regulation & Law Report™ provides coverage of federal and state developments in the regulation of securities and futures trading and accounting with unbiased coverage of the courts, Congress, and agencies.

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Track legislative and regulatory proposals with prompt reporting on federal, state, and international developments in the regulation of securities and futures trading, with objective coverage of the Securities and Exchange Commission, Commodity Futures Trading Commission, federal and state courts, and Congress.

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Reap the advantages of Bloomberg BNA's 30 years of expertise. Our experienced lawyer-editors bring a thorough understanding of the profession to in-depth analyses of significant cases, trends, and other developments.


TOPICS COVERED

  • Antifraud
  • Arbitration
  • Broker-dealer regulation
  • Capital formation
  • Corporate governance
  • Derivatives
  • Disciplinary actions
  • Disclosure
  • Enforcement  activities
  • Futures
  • Hedge funds
  • Insider trading
  • Investment advisers
  • Market regulation
  • Municipal securities
  • Mutual funds
  • Officers and directors
  • Self-regulatory organization rules enforcement
Key Laws and Regulations
  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Investment Company Act of 1940
  • Investment Advisers Act of 1940
  • Dodd-Frank Wall Street Reform & Consumer Protection  Act
  • JOBS Act
  • Private Securities Litigation Reform Act
  • Securities Litigation Uniform Standards Act
  • Securities Law Enforcement
  • Remedies Act
  • Sarbanes-Oxley Act
  • Foreign Corrupt Practices Act
  • Commodity Exchange Act

SPECIFICATIONS

Product Structure

Notification: current reports providing news and developments.

Formats and Frequency

Print and web notification formats are issued and available weekly. Print current reports are indexed quarterly, culminating annually. Web current reports are archived to 02.02.1996. 
Email summaries, providing the highlights and table of contents for each report, with links to full-text articles and documents, are available for all web subscribers.

 


RECENT HEADLINES

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SDNY Turns Back Newman Challenge To SEC Insider Case Over IBM Acquisition
April 13
SAC Fund Manager Steinberg Can Challenge Insider Conviction
April 13
U.S. Argues Against Reversal Of Gupta Insider Trading Conviction
April 13
SEC's Bowden Stepping Down From OCIE Post at End of April
April 13
Berman, Head of Analytics Office, Stepping Down From SEC Post in April
April 13
SEC Staff Actively Working On Universal Ballot Recommendation
April 13
CAFA Securities Exception Precludes Review of Order Remanding Bondholder Suit
April 13
Court Dismisses Argentina Appeal Of Contempt Citation as Premature
April 13
Argentina Appeals Block On Payment of Some Performing Debt
April 13
11th Cir. Affirms PR Firms, Officials Liable Over Alleged Roles in Microcap Scam
April 13
Lawyer Who Aided Farahi TARP Scam Loses Challenge to Conviction, Sentence
April 13
10th Cir. Mostly Affirms Dismissal Of Claims Against Delta Petroleum Execs
April 13
10th Cir. Upholds FINRA Sanctions Against Brokers That Aided Stock Scam
April 13
Amedisys Seeks Review of Ruling Plaintiffs Adequately Alleged Loss Causation
April 13
Court Sets 5/6 Hearing on Dueling Motions Over SEC Resource Extraction Rulemaking
April 13
Defense Contractor FLIR Agrees to Pay $9.5M to Resolve SEC FCPA Allegations
April 13
Wal-Mart Asks Court to Reject Investor Plan on Gun Oversight
April 13
Funds Managing $76 Trillion Draw IMF Scrutiny Due to Possible Increased Risk
April 13
IOSCO Report Identifies ‘Sound Practices’ For Continuity Planning by Intermediaries
April 13
SEC Sues 12 Firms, Six Individuals For $12.4M Cellular Licensing Scheme
April 13
Western Asset Makes Changes To Money Funds After New SEC Rules
April 13
SEC Alleges Former Pro Football Player Behind Ponzi Scheme Based on Athlete Loans
April 13
Fincher Bill Would Ease EGC Disclosure Law
April 13
House Bill Would Raise Options Disclosure Threshold
April 13
White to Testify on SEC Budget April 15
April 13
SEC's IAC Proposes Combined Database for Investors
April 13
SEC's Investor Committee Elects New Vice Chairman
April 13
SEC Files Suit Alleging Life Settlement Fraud
April 13
InVivo Therapeutics Avoids Would-Be Class Suit
April 13
Suspected Fraudster May Take 5th at Deposition
April 13
N.C. Executive Settles SEC's Fraud Charges
April 13
Cybersecurity Disclosures in SEC Filings: When, How
April 13
SEC Enforcement Sharpens Focus, Expands, Based on Five Specialized Units
April 13
U.K. Treasury Said to Advocate Time Stamps for Currency Trades
April 13
Swiss Libor-Rigging Case To End This Year, Regulator Says
April 13
Argentina Sues Citibank Seeking To Undo Holdout Creditor Accord
April 13
Satyam Founder Gets Seven Years For India's Biggest Corporate Fraud
April 13
Accused Goldman Code Thief Takes on Vance After Defeating U.S.
April 13
Insider Suit Against Lululemon Exec Falls to Del. Demand Futility Challenge
April 13
NASAA Says Investors Confused About Broker-Dealer Service Fees
April 13
C&J Energy Gets Reporting Relief Related to Merger With Nabors Industries
April 13
SEC/Delivery of Prospectuses to Investors at the Same Address
April 13
SEC/Maintenance of Margin in Commodities Transactions
April 13
ISE/Sharing of Member Designated Risk Settings
April 13
NASDAQ/Market Maker Participant Identifier Fees
April 13
ISEGemini/Member-Designated Risk Settings
April 13
PHLX/PSX System, Time-in-Force Designations
April 13
SEC/Funds Maintaining Custody of Fund Assets
April 13
PHLX/Financial Responsibility and Reporting
April 13
PHLX/Customer Complaints
April 13
MIAX/Market Maker Trading Permit Fees
April 13
MIAX/Options Fee Schedule
April 13
CME/Decisionmaking, Emergency Authority Over Clearing House Matters
April 13
NYSE Arca/Market Maker Appointment Process
April 13
NYSE MKT/Market Maker Appointment Process
April 13
NASDAQ/Market Hours Immediate or Cancel Orders
April 13
BX/MIOC and GTMC Time-in-Force Orders
April 13
NSCC/Fee Schedule
April 13
NSYE/Price List
April 13
John Hancock ETF Trust/Application for Exemption
April 13
NYSE MKT/Order Types and Modifiers
April 13
NYSE/Order Types and Modifiers
April 13
NASDAQ/Order Routing
April 13
BYX/Record of Written Complaints
April 13
NYSE/Midday Auction
April 13
NYSE/Automatic Executions
April 13
NYSE MKT/Automatic Executions
April 13
CBOE/Allocation of National Stock Exchange Resources
April 13
CFE/Open Interest Reporting
April 13
CBOE/Automatic Order-Handling Process in No-Bid Series
April 13
C2/Fee Schedule, Public Customer Taker Rebate
April 13
BATS/Record Retention Requirements for Written Complaints
April 13
2d Cir. Denies Bharara Bid To Rehear Newman Insider Decision
April 6
KBR Settles First of Its Kind Allegations Nondisclosure Pact Infringed WB Protections
April 6
McKessy: SEC to Bring Actions On Whistle-Blower Retaliation, ‘Pretaliation'
April 6
High Court Vacates, Remands 2d Cir. Decision on ING Opinion of MBS Offering
April 6
2d Cir. Revives Claims by Shareholders That Opted Out of ‘12 Settlement With AIG
April 6
Pimco Sues AIG Over Losses From 2008 Financial Meltdown
April 6
11th Cir.: Stanford Investors Can't Sue U.S. Over SEC's Failure to Halt Ponzi
April 6
‘Diva of Distressed' Faces SEC Suit For Overstating CLOs, Pocketing Huge Fees
April 6
‘Diva of Distressed' Fires Back at SEC With Suit Alleging Unconstitutional Forum
April 6
Claims AMD Concealed ‘Yield’ Problems Survive Falsity, Scienter Pleading Challenges
April 6
SEC Rulemaking for Resource Extraction, Other Requirements Pushed Back to 2016
April 6
In Writing and Defending Minerals Rule, SEC Spent 20K Hours and More Than $2.5M
April 6
Gallagher: Crowdfunding, Reg D Changes Better Than Reg A Plus for Tiniest Offerings
April 6
SEC Hails Securities Fraud Verdict Against Fla. Man Who Aided Rothstein Ponzi
April 6
Writing Rules for Specialized Disclosures ‘Distracted' SEC, Former Chair Schapiro Says
April 6
NASAA Calls for Written Decisions, Ban On Mandatory Pacts, Application of Law
April 6
GC's Husband, His Friend Charged With Trading on Insider Merger Info
April 6
JPMorgan Execs Said Deposed In SEC Asset-Management Probe
April 6
Public Pension Funds Petition SEC For More Disclosure on Board Diversity
April 6
U.S. Judge Dismisses Case Against Aetna Calling for Disclosure of Political Spending
April 6
Judge Orders BHC to Give Investors Examination, Enforcement Documents
April 6
Barrick Heading for Trial In Trimmed Case Over Andes Gold Mine
April 6
Harbinger Investor Suit Over Stake In Lightsquared Dismissed by District Court
April 6
Fed Focuses on Shadow Banking As Officials Gauge Risk of Financial Crisis
April 6
Hoenig Says Volcker Rule Is Next Part Of Dodd-Frank to Get Bank Stealth Attack
April 6
Fed's No. 2 Advises Vigilance Over Nonbanks; Offers Ideas for Shadow Bank Regulation
April 6
N.Y.-Based Brokerage Firm to Pay $15M To Settle SEC Suit Over Faulty Underwriting
April 6
SEC Sues Ex-Polycom CEO Miller For Misappropriating Company Funds
April 6
Ex-Direct Access CEO Sentenced To Four Years for Bond Business Bribe Plot
April 6
S&P Doubles CMBS Ratings Business After SEC Bans It From Market
April 6
Sprint Agrees to Pay $131 Million to Settle Shareholder Suit Alleging Stock Value Fraud
April 6
Former ConvergEx Exec Pleads to Records Count
April 6
FINRA Seeks Input on Member Application Rules
April 6
Bahamian Firm Must Produce Documents to SEC
April 6
Firms Fined $700K for Supervisory Failures
April 6
Privacy Policies for Financial Firms: Are Broker-Dealers and Investment Advisors at Risk From FINRA and the SEC?
April 6
Hill Watch: Securities
April 6
Hill Watch: Futures Trading
April 6
China Eases Rules for Selling Loans as Asset-Backed Securities
April 6
ECB, BOE to Guard Clearinghouse Stability After EU Ruling
April 6
EU Bill May Force Banks to Stay On Benchmark-Setting Data Panels
April 6
Hong Kong Exchange Pledges To Defend Investors in China
April 6
Arcadia Sues Ex-CEO, CFO Over $287 Million Oil-Trading Fraud
April 6
British Columbia Regulator Fines Seven C$80.5M for Fraud, Market Manipulation
April 6
Delaware Supreme Court's Chief Justice Voices Support for Fee-Shifting Limitation
April 6
Corporate America Well on Way To Achieving Proxy Access, N.Y. Official Says
April 6
Wal-Mart Wins Dismissal in Arkansas Suit; Delaware Court Sets Hearing in §220 Matter
April 6
ACA Financial Asks New York Court To Revive Goldman Sachs Abacus Lawsuit
April 6
CFTC Alleges Kraft Foods Manipulated Wheat Futures, Cash Prices
April 6
Sen. Roberts Wants Treasury Dep't To Step in on Cross-Border Clearinghouses
April 6
Allston Said Facing CFTC Probe Over Alleged Market Manipulation
April 6
CFTC Is Gearing Up For Labor Fight With Its Workers
April 6
Morgan Stanley Agrees to Sell Wentworth to Pentagon Energy
April 6
Poker-Playing Las Vegas Money Manager Settles CFTC Charges Over Premature Bet
April 6
D.E. Shaw, Citadel Urge CFTC To Allow Anonymous Swaps Trades
April 6
Staff Extends Timing for Annual CCO Report
April 6
Staff Grants Relief for Swaps With Legacy SPVs
April 6
Petrobras Investors Claim PwC Ignored Red Flags of Fraud
April 6
Individual Investor Bests PE Fund In Lead Plaintiff Bid Over China Audits
April 6
Waivers From Automatic Disqualification Not Additional Enforcement Tool, White Says
March 16
Pre-DF Tip Not ‘Original Information’ For WB-Award Purposes, 2d Cir. Affirms
March 16
9th Cir. Revives Class Suit Over Schwab Bond Fund Investment
March 16
New Capital Formation Measures Are Worth It Even if Lightly Used, Stein Says
March 16
Gallagher Calls for Markup Disclosure In Muni Bond Sales for Retail Customers
March 16
Enforcement Priorities to Include Allocations, Disclosures and Conflicts, SEC Official Says
March 16
Group Asks SEC to Prioritize Rulemaking on Universal Proxies
March 16
SEC Official Calls for Assessment Of SEC Rules' Impact on Venture Exchanges
March 16
Lew: Need for Regulation Of High-Frequency Trading Unclear
March 16
Rule Burden May Be Behind De Novo Drop; Fed Paper Explores Lack of Bank Startups
March 16
FSOC Hears From Fed on Stress Tests, Continues Formulating Annual Report
March 16
Democratic Sens. Reed, Menendez Introduce Bill to Ban Insider Trading
March 16
Senate Bill Would Allow Companies To Issue More Options Without Disclosure
March 16
Ex-Goldman Director Gupta Says Insider Conviction Should Be Tossed
March 16
Stanford Receiver Needn't Arbitrate Claims Against Former Employees, SEC Says
March 16
Despite ‘Newman,' Court Upholds Former Exec's Insider Trading Conviction
March 16
SEC Says Newman Decision Does Not Bar Suit Against Two Brokers
March 16
Pomerantz Firm Chosen to Lead Investor Suit Against Petrobras Brasileiro
March 16
Study: M&A Success Hinges On Preparation for Post-Deal Integration
March 16
Former SEC Official Emerges As Harsh Critic of U.S. Stock Markets
March 16
Argentine Judge Seeks SEC Help In Probe of Alleged $47M Bribe by BP
March 16
Fraud Suit Over Failed Cancer Drug Felled by Falsity, Scienter Challenges
March 16
Broker Business Seeks SEC Wedge Against White House Bid to Pare Fees
March 16
SEC OKs FINRA Rule on Background Checks
March 16
Firm, President Settle FINRA Fraud Allegation
March 16
Third Person Named in SEC's Insider Trading Suit
March 16
Class Certification Bid Denied in Xcelera Suit
March 16
Ex-Lawyer Must Pay $1.5M for False Opinion Letters
March 16
3d Cir. Nixes Investor Suit Over Failed Drug Approval
March 16
Former Assisted-Living Exec Loses Discovery Bid
March 16
RBS Securities Trader Pleads to Conspiracy Charge
March 16
SEC's Bid for Relief Mostly Granted by N.D.N.Y.
March 16
Big Brother's New Friends: Implications for Corporate Investigations Of DOJ's Increasing Cooperation With Foreign Governments
March 16
Investment Banks Balk At Draft EU Fixed-Income Research Rule
March 16
EU Bond-Market Transparency Plan Seen Hurting Trades, Investment
March 16
BOE's Carney Hints at Involvement Of Multiple Banks in Fraud Probe
March 16
Deutsche Boerse Loses Fight In EU Court Over NYSE Merger Veto
March 16
Merkel's Coalition Said to Be Near Deal to Delay Bank-Separation Law
March 16
EU Court: Privileged Information Must Be Disclosed Even if Stock Price Effect Unclear
March 16
U.K. Regulator Cites Faulty Disclosure In Design, Sale of Structured-Products
March 16
Ex-JPMorgan Banker Loses Fight Over Removal From London Whale Probe
March 16
Golf Channel Takes $6M Slice In Texas Suit Over Ads for Stanford's Ponzi
March 16
Sophisticated Investors Win Revival Of Neb. Securities Suit; No Reliance Needed
March 16
Del. Court Eyes Fee-Shifting Bylaw, Casts Doubt on Enforceability in Test Case
March 16
Pharm Firm Shareholders Failed To Demonstrate Del. Demand Futility
March 16
Lumber Liquidators Board Faces Del. Insider Trading Suit Tied to Flooring
March 16
Wall Street Bonuses Top $28 Billion in 2014, Industry Adds Jobs in N.Y., Comptroller Says
March 16
Dismissal of Del. Claims Against Expedia Affirmed
March 16
Massad Hopeful CFTC Can Adopt Rule on Uncleared Margin by Summer
March 16
CFTC's Giancarlo to Stay Away From Matters Involving Broker BGC
March 16
CFTC Revises Preamble to Swaps Rules After Court Ordered Cost-Benefit Clarity
March 16
CFTC to Bring Enforcement Matters In Administrative Proceeding ‘Very Soon'
March 16
CFTC IG Clears Agency Attorney Accused of Improperly Trading Retail Forex
March 16
Ex-CFTC Clearing/Risk Deputy Moves to Gibson Dunn
March 16
IOSCO, CPMI to Review Clearinghouse Stress Tests
March 16
Clearing Roundtable Rescheduled for 3/19
March 16
FASB Adopts New Disclosure Rules For Short-Term Insurance Contracts
March 16
FASB Directs Staff to Draw Up Draft of Final Impairment Standard
March 16
Orthofix, Ex-Execs, Can't Shake Investor Suit Over Alleged Revenue Scam
March 16
GE Obtains No-Action Relief On Shareholder Access Resolution
March 16
CFTC/District Court Remand Order Response
March 16
NYSE Arca/Price Protection for Market Maker Quotes
March 16
CBOE/Extended Trading Hours
March 16
EDGX/Fee Schedule
March 16
Options Clearing Corp./NASDAQ Futures Inc. Clearing Agreement
March 16
NYSE/Retail Liquidity Program
March 16
Listing
March 16
In First of Its Kind Move, SEC Grants Whistle-Blower Award to Ex-Corporate Officer
March 9
Court Dismisses Retaliation Claim, Citing Whistle-Blower's Failure to Report to SEC
March 9
Small Company Committee Recommends SEC Adopt ‘Accredited' Sophistication Test
March 9
Pharmaceuticals' FCPA Violations Come in Three Flavors, SEC's Ceresney Says
March 9
SEC Internal Controls Cases Show ‘Sea Change’ in FCPA Enforcement
March 9
U.S. Chamber Drafting Report On SEC's Enforcement Process
March 9
Rakoff, Practitioners Question SEC Practice Of Sending More Enforcement Cases to ALJs
March 9
SEC Bumps Tick Pilot Deadline Two Additional Months, Into Early May
March 9
Commissioners Show Some Splits On How to Handle Venture Exchanges
March 9
Senate Banking Panel Plans Vote On Legislation to Change Dodd-Frank
March 9
Corporate Debt Liquidity Problems Pose ‘Systemic Risk,' Gallagher Says
March 9
SEC Looking at Liquidity Risks In Fixed-Income Market, Examining Funds
March 9
SEC Working to Improve Data Collection Regime for Asset Managers
March 9
Enforcement, Exam Staffs at SEC Collaborating Better, Harnessing Expertise
March 9
Insider Trading Study Reveals Authorities’ Spinoff Blind Spot
March 9
Plaintiffs Suing Bank Ask Justices To Hold Petition Raising Omnicare Issue
March 9
SEC Asks Court to Nix Lawsuit Over Resource Extraction Disclosures
March 9
Third-Party Vendors, Better Authentication Keys to Better Cybersecurity, Lawsky Says
March 9
Panelists Discuss Top 10 Controls Companies Should Have for Cybersecurity
March 9
U.S. Hits China Cybersecurity Proposal Requiring Turnover of Bank Technology
March 9
House Republican Lawmakers Demand Proof Of DOL, SEC Coordination on Fiduciary Rule
March 9
Congress May Revisit Requirements for Conflict Minerals
March 9
Warren Says Critics Wrong That She Sees Dodd-Frank as Holy Grail
March 9
Lynch's Bill Would Restrict Maker-Taker In Six-Month Pilot, Have SEC Study Effects
March 9
Rep. Lynch Introduces House Bill To Codify Ban on Insider Trading
March 9
SEC Suspends Trading in 128 Companies To Prevent Use in Pump-and-Dump Schemes
March 9
Akamai Starts Internal Probe Of Sales Practices Abroad
March 9
Tenth Circuit Gives New Life to NCUA Suit Alleging Flawed RMBS Issued by Barclays
March 9
Eighth Circuit Says Associated Bank Must Face Claims It Aided, Abetted Fraud
March 9
Barclays ‘Last Look’ at Currency Trades Is Said to Face Justice Department Review
March 9
Goldman Sachs, JPMorgan Dropped From Consolidated Aluminum Antitrust Suit
March 9
Hedge Funds Seek $8B From Argentina At U.S. Court, but Government Won't Pay
March 9
IBM Investor Claims in Suit Microchip Unit Was Overvalued
March 9
Regulators Propose Revised Methods To ID More Systemically Important Entities
March 9
Nomura Said to Be Discussed For Costly U.S. Systemic-Risk Label
March 9
FSOC Official: ‘Premature to Speculate' On How Council Will Handle Asset Managers
March 9
Texas Firm to Pay $225K Over Alleged Failure to Supervise Reps
March 9
Court Certifies Class Again In Madoff Feeder Fund Litigation
March 9
Timing of Hedge Needed in SEC Insider Suit Against Former InterMune Exec, Court Says
March 9
SEC Drops Subpoena for Google Data On Vista Capital Co-Founder Selce
March 9
District Court Says It Lacks Authority Over Challenge to SEC Administrative Action
March 9
SEC Signs Off on MSRB Rule On Muni-Advisor Qualification Standards
March 9
SEC Halts ‘Ponzi-Like’ Scheme By Purported Venture Cap Fund Manager
March 9
UBS Dodges Would-Be Class Suit Over Trader That Cost Firm $2.3B
March 9
SLUSA Challenge Topples Suit Over Exchange of Annuities
March 9
Senate Banking Panel to Meet on Venture Exchanges
March 9
Senators Press IGs on Agency Resistance
March 9
DGC Sandor Named MSRB CCO
March 9
SEC Suit Survives Jurisdictional Challenge
March 9
Unique Defense Defeats Lead-Plaintiff Bid
March 9
SEC Oks FINRA Rule Change on Public Arbitrators
March 9
No Adjustment to Fee Rate Required, SEC Says
March 9
Former Rep Settles Suit Over Unregistered Sales
March 9
SEC Charges 15 in Pyramid Scheme
March 9
SEC Proposes Long-Awaited Hedging Disclosure Rule: What Does It Mean and What Should You Do Now?
March 9
Foreign Tax Surprises Like Disney's Have SEC Officials Seeking Sunlight
March 9
Oil at $95 a Barrel Discovered In SEC Rules on Valuing Reserves
March 9
Global Regulators Pushing Tougher Rules At Mega Fund Managers on Too-Big-To-Fail
March 9
EU Too-Big-to-Fail Bank Overhaul Faces Decisive Legislative Stretch
March 9
EU Court Backs U.K., Strikes Down ECB's Eurozone-Only Clearing Rule
March 9
Bank of England Crisis Funding to Banks Is Subject of Unprecedented Fraud Probe
March 9
Ex-Morrisons Treasurer Sentenced By U.K. to 12 Months for Insider Trades
March 9
Two Arrested for Insider Trading On Tips About Toyota Tsusho Takeover
March 9
Saxo Says It Had to Keep Taking Franc Orders to Avoid Being Sued
March 9
Ex-JPMorgan Banker Tells Madrid Court He's Innocent
March 9
BofA/Countrywide Deal Approval May Help JP Morgan, Citi Pacts
March 9
Stockholders That OK Forced Merger Don't Waive Delaware Appraisal Rights
March 9
Morgan Stanley Says New York Intends to Sue on 30 Subprime Deals
March 9
Derivative Plaintiffs Must Post N.Y. Law Security
March 9
Massad Says He Is Concerned Rule On Ratio Could Negatively Impact Clearing
March 9
CFTC to Host Cybersecurity Roundtable March 18
March 9
CFTC Expects More Substituted Compliance Queries
March 9
CFTC Proposal Not Affected by Comment Extension
March 9
CFTC Extends Relief for FERC-Regulated RTO
March 9
Salix Reports SEC Probe On Inventory Disclosures, Accounting
March 9
Chinese Firm, Officers Sued Over Financials
March 9
Default Judgment Entered Against Chinese Firm, CEO
March 9
SEC/SRO Disciplinary Action
March 9
SEC/Investment Company Names
March 9
SEC/Information Required of Institutional Investment Managers
March 9
CHX/Market Data Feeds
March 9
FINRA/Arbitrator Classification
March 9
MSRB/Professional Qualifications of Municipal Advisors
March 9
CBOE/Order Tickets
March 9
BATS/System Functionality
March 9
NYSE Arca/Options Fee Schedule
March 9
Joint Industry Plan/Tick Size Pilot Program
March 9
NYSE Arca/PIMCO ETFs
March 9
ICE Clear Credit/Operational Risk Management Framework
March 9
Options Clearing Corp./Clearing Fund
March 9
NYSE/Late Filing of Annual Reports
March 9
Options Clearing Corp./Capital Plan
March 9
ICE Clear Europe/Fee Schedule
March 9
NSYE/Price List
March 9
NYSE MKT/Use of Data Feeds
March 9
NYSE Arca/Use of Data Feeds
March 9
NYSE/Use of Data Feeds
March 9
SEC/Registration of Insurance Company Separate Accounts
March 9
Obama Backs Tougher Rules On Brokers for Handling Retirement Funds
March 2
Justices Halt DOJ's Broad Application Of Criminal Provision of Sarbanes–Oxley Act
March 2
Justices Turn Back Cert Petitions By Inside Trader, Convicted Fraudster
March 2
Crapo Adds to Republican Criticisms Over Privacy, Security in CARDS Proposal
March 2
Republicans Tell SEC to Drop Fight Over Conflict Minerals Rule
March 2
SIFI Threshold, FSOC Transparency On Senate Banking's March Schedule
March 2
Responding to House Dems, White Says SEC Focused on Whistle-Blower Protections
March 2
Piwowar Urges SEC to Draft Guidelines for Enforcement Proceedings
March 2
SEC's Stein Dissents on Proposal For Up, Down Shares of Seven Nasdaq ETFs
March 2
Stein Calls for EDGAR Update; Different Data for Different Investors
March 2
SEC Investigating Registrants to Determine Compliance With SARs Rules, Ceresney Says
March 2
Although in the Works for Years, Fiduciary Standard Still a ‘Priority'
March 2
SEC Remains Concerned About Cybersecurity Disclosures, Official Says
March 2
SEC to Consider Venture Exchanges As Alternative for Small-Cap Stock Trading
March 2
Flannery: New DERA Tools Assess Issuer, Broker-Dealer Risk
March 2
SEC Will Bring Enforcement Cases On Asset Manager Conflicts, Official Says
March 2
SEC Corporate Risk Project Develops Over 200 Risk Factors
March 2
SEC Using Data Analytics in Bid To Spot Signs of ‘Potentially Illegal’ Conduct
March 2
Hedge Fund Founder Sues Prosecutors; FBI Warrant in 2010 Searches Unsealed
March 2
SEC Sees New Lawsuit Over Use of Administrative Forum
March 2
Galleon, SAC Cooperator Spared Prison at Insider Sentencing
March 2
Chiasson to 2d Cir.: No Basis To Rehear Newman Insider Decision
March 2
ALJ Orders Hearing in Insider Case; Wants More Evidence on ‘Personal Benefit’
March 2
Court Tosses Whistle-Blower's Claim UBS Violated CFPA Anti-Retaliation Proscriptions
March 2
Wylys Must Pay $300M In SEC Lawsuit Over Secret Accounts
March 2
Goldman Says DOJ Might Sue Over Mortgage-Bond Violations
March 2
Brokers Say SEC Must Drop Suit After Criminal Insider Charges Tossed
March 2
Citing Gabelli, SIFMA Says SEC Suit Untimely Under §2462
March 2
ESMA Says EU Market Regulators Giving Best Execution Provisions Low Priority
March 2
Muni Fact Book Shows Trades Down 16 Percent in 2014
March 2
SEC Charges Brothers-in-Law With Trading on Inside Merger News
March 2
Former Two Sigma Analyst Gao Pleads Guilty to Software Theft
March 2
Goodyear Agrees to Pay $16M To Settle SEC Claims Over FCPA Violations
March 2
Release of New ISS Policy Heats Up Momentum on Proxy Access
March 2
Investor Suits Over M&A Mostly Unchanged In 2014, but Slowdown Might Be Underway
March 2
Court Suggests Would-Be Class Plaintiffs Shore Up Claims Over Risky Investments
March 2
Banks Said to Face U.S. Probe On Manipulation of Metals Pricing
March 2
Morgan Stanley Reaches $2.6 Billion Mortgage Deal With Justice Department
March 2
Porsche May Win Dismissal Of Hedge-Fund Appeal, Court Says
March 2
CEO of Biotech Firm Pleads Guilty To DOJ Charges of Fraudulent Transfers
March 2
Direct Edge's Pattern of Disobeying SEC Said to Spur Record Fine on Two Markets
March 2
Deputy AG: DOJ Looking at ‘Emerging Areas' In Auto Loan Fraud, Lending Discrimination
March 2
SEC's White Meets With EU Financial Commissioner
March 2
Salt Lake Regional Director to Retire From SEC
March 2
White Adviser Ted Yu Moves to Skadden
March 2
Scholar Dall Forsythe Joins MSRB Board
March 2
SLUSA Issues Foil Combining Best-Execution Cases
March 2
Receiver Tapped to Collect From Ponzi Schemer
March 2
Ex-Merck Analyst Pleads Guilty to Insider Trading
March 2
SEC Bars Fraudster, Imposes $150K Fine
March 2
Coal Co. Founder Gets 5 Years Over Disclosures
March 2
FCPA Enforcement Trends and Developments
March 2
New India Insider Rules To Become Effective May 15
March 2
Bank Chairmen Covered In New U.K. Rules for Non-Execs
March 2
RBS Reveals Regulatory Probe Into Sales of Structured Products
March 2
Derivatives Are for Hedging, Not Bundling, EBA's Farkas Says
March 2
Saxo Clients to Tell Bank Franc Repricing Must Be Reversed
March 2
Lawsky on How to Fight Launderers, Hackers; Suggests Random Checks on Bank Systems
March 2
New York's Top Cop Seeks Whistle-Blower Powers Akin to SEC
March 2
Protecting Senior Investors Tops NASAA's Legislative Agenda for 114th
March 2
Massad Says CFTC Expects To Finish Swaps Margin Rule by Summer
March 2
CFTC Reopens Comment Period For Proposed Rules on Position Limits
March 2
Energy Official Says CFTC Proposal Would Not Capture Necessary Hedges
March 2
CFTC Subpoenaed HSBC U.S. Unit In Probe Into Precious Metals Trading
March 2
CFTC Staff to Hold Discussion on Wind-Down of DCOs
March 2
Lawmakers Seek Conflict Information From Giancarlo
March 2
SEC Enforcer Outlines Characteristics Increasing Risks of Financial Fraud Action
March 2
SEC Accountant Predicts Continued, Long Deliberations on U.S. Use of IFRS
March 2
‘Diva of Distressed’ Tilton Said Facing SEC Action on CLO Values
March 2
CFTC/Position Limits for Derivatives, Aggregation of Positions
March 2
NYSE/Midday Auction
March 2
SEC/Municipal Securities Disclosure
March 2
NYSE MKT/Order Types and Modifiers
March 2
NYSE/Solicitation of Proxies
March 2
FINRA/Late Cancellation Fees
March 2
PHLX/Pricing Schedule
March 2
BATS/Fines for Minor Violations
March 2
EDGX/Fines for Minor Violations
March 2
EDGA/Fines for Minor Violations
March 2
BYX/Fines for Minor Violations
March 2
C2/Obvious Error Provisions Pilot Program
March 2
Options Clearing Corp./Futures Transactions
March 2
SEC/National Market System Plan
March 2
MIAX/iShare ETFs and Market Vectors ETFs
March 2
BOX/Obvious Error Provisions Pilot Program
March 2
MIAX/Obvious Error Provisions Pilot Program
March 2
NYSE MKT/Obvious and Catastrophic Errors Pilot Program
March 2
BX/Opening and Halt and Cross and Opening Imbalance Process
March 2
CBOE/Obvious Error Provisions Pilot Program
March 2
ISE Gemini/Obvious Error Provisions Pilot Program
March 2
ISE/Obvious Error Provisions Pilot Program
March 2
NASDAQ/Obvious Error Provisions Pilot Program
March 2
FINRA/Research Analysts and Research Reports
March 2
FINRA/Debt Research Analysts and Debt Research Reports
March 2
ICC/Risk Management Framework
March 2
SEC/Advisory Committee on Small and Emerging Companies
March 2
BX/Obvious and Catastrophic Errors Pilot Program
March 2
PHLX/Obvious Catastrophic Errors Pilot Program
March 2
NASDAQ/Closing Process
March 2
BX/Qualified Market Maker Program
March 2
SEC/Account Statements for Penny Stock Customers
March 2
SEC/Annual Reporting Requirements for Transfer Agents
March 2
SEC/Registration of Securities of Foreign Private Issuers
March 2
SEC/Registration of Securities of Certain Canadian Issuers
March 2
CBOE/Order Handling and Management
March 2
BATS/Fee Schedule
March 2
FINRA/Member Filing and Contact Information Requirements
March 2
2d Cir. Affirms No Interest, Inflation Adjustments for Madoff Victims
February 23
Justices Weighing Morrison Challenge, Item 303 Disclosure Duty Under §10(b)
February 23
Harvey Goldschmid Dies at 74; He Helped Shape SEC Response to Accounting Scandals
February 23
Dodd-Frank, Cybersecurity, CFPB Top Neugebauer Agenda for Fin. Services Panel
February 23
SEC Likely to Scrutinize Due Diligence, Smelter Data in Next Conflict Mineral Filings
February 23
Committee Weighs in on Obama's Budget, Criticizes SEC's Priorities, Funding Level
February 23
Aguilar Knocks Slow Dodd-Frank Pace, Makes Push for Permanent Industry Bars
February 23
Aguilar Calls for More Transparency In Muni Market, Says Investors at Risk
February 23
SEC's Gallagher Fires Back on Waivers, Says Automatic DQ Isn't Extra Sanction
February 23
SEC's Piwowar Knocks CARDS Proposal Over Data Security, Privacy Complications
February 23
Pervasive Bad Behavior Seen By SEC in Market for Complex Debt
February 23
Smarter Proxy Packaging, Better Disclosures Could Spur Retail Participation, Panel Says
February 23
Six SEC Rulemakings on the Way As Part of Market Structure Overhaul
February 23
Investor Advocate Criticizes SEC on Tech, Calls for Simpler, Structured Disclosures
February 23
SEC Investor Committee Recommends Trimming Settlement Cycle to ‘T Plus 1'
February 23
Chamber Tells SEC Universal Ballots Will Lead to Proxy Fights, More Disruption
February 23
Investors Ready to Vote Against Boards That Move in Bad Faith on Proxy Access
February 23
After SEC Withdraws No-Action Relief, Whole Foods Postpones Annual Meeting
February 23
Panelists at SEC Roundtable Spar Over Benefits of Universal Proxy Cards
February 23
In a First, CalSTRS Pension Fund Specifies Voting Stance on Proxy Access Proposals
February 23
Ex-Wells Fargo Broker, Coconspirators See Prison Terms Over Roles in Insider Scheme
February 23
Wal-Mart: Ruling on Gun Sale Resolution Contradicts 40 Years of SEC Guidelines
February 23
Fed's Powell: Bank Regulators to Act Quickly, Aggressively to Safeguard Financial Stability
February 23
Ex-Goldman Sachs Programmer Sues FBI Agents Who Arrested Him
February 23
Ex-Investment Manager Charged With Lying During SEC Insider Investigation
February 23
DOJ Weighing Action Against Individuals in RMBS Cases, Holder Says
February 23
Purported N.Y. Hedge Fund Manager Sued For Stealing Money From Investors
February 23
Money Fund Changes Planned By Federated to Satisfy New SEC Rules
February 23
NYSE Clarifies Advance Inquiry Rule; NYSE MKT Requires CEO Certification
February 23
SEC Sues Five Offshore Companies Over Unregistered Securities Scheme
February 23
SEC Scrutinizing Bank Efforts To Comply With Capital Regulations
February 23
Groups Sue SEC to Access E-Mails On Lobbying Over Climate Change Disclosure
February 23
One Allegation Remains as SEC Wins On Claims Against Ex-Smart Card Co. CEO
February 23
SEC Largely Prevails in Action Over McGinn Smith $125M Offering Scam
February 23
S&P Reevaluating Mortgage Grades After SEC Finds It Failed to Follow Criteria
February 23
‘Net Winners' in Ponzi Scheme Certified As Defendant Class in Receiver Clawback Suit
February 23
Teva Says It Probably Violated U.S. Foreign Corruption Law
February 23
Ex-Skadden Lawyer Concealed Insider Stock Sales, SEC Alleges
February 23
UBS Client Claims V10 Currency Product Probed by U.S. Was Pushed, Caused Losses
February 23
UBS Bond Probe to Examine Whether Bank Breached Tax Deal
February 23
N.Y.-Based Brokerage Firm, CEO Settle CDO Liquidation Auction Fraud Allegations
February 23
SEC Said to Target Deals Giving Visas to Rich Foreign Investors
February 23
Weavering Hedge-Fund Founder To Appeal 13-Year Jail Sentence
February 23
Acting Chief Named CIO, Will Oversee IT Functions
February 23
MSRB Names New CLO, Promotes Deputy GC
February 23
SEC's Emerging Cos. Committee to Meet March 4
February 23
D-F Regulators Miss Billions in Costs, AAF Says
February 23
SEC Moves to Stop Alleged Colo. Pyramid Scheme
February 23
IA to Pay $50K Over Custody Violations
February 23
A ‘Cop on the Beat'?: Why the SEC Should Adopt the Brady Standard
February 23
U.K. Markets Watchdog Begins Probe of Fees for Investment Banking
February 23
EU Pivots Financial Regulation Toward Quest for Economic Growth
February 23
Ex-HSBC Wealth Managers Face Hong Kong Bribery, Fraud Charges
February 23
Soros, Hayman Funds Get U.K. Court Order on Argentina Bonds
February 23
Cayman's Caledonian Bank Files Bankruptcy, In New York, Saying SEC Freeze Triggers Run
February 23
New York's Highest Court Turns Back Barclays-Hedge Fund Collateral Dispute
February 23
Claims Barclays Made Misstatements About Dark Pools Covered by Martin Act
February 23
Lawsky Says Bank Probe Focusing On ‘Last Look' in Currency Trade
February 23
Schwab, New York Resolve Suit Alleging Misstatements About ARS
February 23
Amalgamated Bank Joins in Opposition To Fee-Shifting Bylaws, Asks Del. for Action
February 23
U.S. Fires Back at Challenge To Futures Fraud, Anti-Spoofing Laws
February 23
ESMA Says It Will Focus On Governance, Risk-Control at CRAs
February 23
CFTC Energy Advisory Committee to Meet Feb. 26
February 23
Hehmeyer Re-Elected Chairman of NFA
February 23
CFTC Extends Relief for Australia Platform
February 23
AICPA Issues More Guidance On Conflict Minerals Reporting
February 23
Axesstel, Execs Can't Shake Would-Be Class Suit
February 23
SEC Grants SIFMA Another Delay From ‘34 Act Rule on Sweep Accounts
February 23
CFTC/Commodity Pool Operators and Commodity Trading Advisors
February 23
Options Clearing Corp./Extended and Overnight Trading Sessions
February 23
SEC/Hedging by Employees, Officers and Directors
February 23
EDGX/Fee Schedule
February 23
EDGA/Fee Schedule
February 23
EDGA/Fee Schedule
February 23
SEC/Advisory Committee on Small and Emerging Companies
February 23
SEC/Proxy Voting Process Meeting
February 23
ICC/End-of-Day Submissions
February 23
BATS/System Functionality
February 23
BYX/System Functionality
February 23
FINRA/Tier Size Pilot
February 23
C2/Fee Schedule
February 23
CBOE/Fees Schedule
February 23
EDGA/Member Registration
February 23
NASDAQ/Fees for Execution and Routing Listed Securities
February 23
NASDAQ/Select Symbol Program
February 23
NASDAQ/Denial of Listing Application
February 23
Joint Self-Regulatory Organization Plan Amendment
February 23
CTA/Amendment to the CTA Plan
February 23
SEC/Proxy Voting Process
February 23
PHLX/Remote Streaming Quote Traders
February 23
U.S. Focuses on Personal Benefit In Bid for Rehearing of Insider Ruling
February 2
Newman Topples Insider Charges Against Defendants in IBM Merger Case
February 2
Partially Split 2d Cir. Won't Rehear Dismissal of Primary-Liability Fraud Suit
February 2
Shelby Tips Hand on CFPB Changes, Republicans Say Bipartisanship Possible
February 2
Warren, Cummings Press Four Megabanks On Swaps Dealing Changes After Omnibus
February 2
Warner, Toomey Call for SEC To Extend Tick Size Pilot Program
February 2
Cohen's Firm, Point72, Said to Mull Proposing Three-Year Ban for SEC Deal
February 2
Elan Investors Hurt by SAC Trading To Be Reimbursed Via $602M SEC Fund
February 2
Oppenheimer Admits Registration Violations, Improper Large-Scale Sales of Penny Stocks
February 2
BNY Mellon Says SEC Recommending FCPA Action Over Wealth Fund Interns
February 2
Ocwen Denies Investors' Claims Alleging Default on Mortgage Bonds
February 2
Banks, Including Barclays, Must Face Investors' Rate-Rigging Suit, Court Rules
February 2
Drug Company Didn't Have Duty To Disclose Dispute With Business Partner
February 2
Madoff Ex-Aide Seeks Bail During Appeal of Fraud Conviction
February 2
Cornerstone on ‘14 Securities Class Suits: Filings Stay Steady but Dollar Losses Down
February 2
Study: ‘Passive' Investors Play Key Role In Swaying Corporate Governance Choices
February 2
GM's Barra Accused by Investors Of Misleading Them Over Recalls
February 2
Court Dismisses Pair of Lawsuits Against French Pharma Co. Over MS Drug
February 2
Securities Officials' Enforcement Priorities Echo Prior Concerns, Including Mortgages
February 2
Relief Group Wants SEC to Issue Resource Payment Proposal by August
February 2
SEC to Host Feb. 19 Roundtable On Proxy Voting, Universal Ballots
February 2
Group Asks ISS, Glass Lewis Not to Issue Recommendations on Use of Exclusion Rule
February 2
MSRB Calls for Transparency Of Muni-Bond Issuers' Undisclosed Debt
February 2
Hotspot Currency-Trading Platform Acquired by BATS for $365 Million
February 2
Experts Predict Big Impact From Appealed Wal-Mart Gun Sales Decision
February 2
Cobalt Intl. Says SEC Terminating Investigation of Angola Operations
February 2
Staff Clarifies Filing Of Nonsearchable Data
February 2
SEC Panel to Vote on Accredited Investor Definition
February 2
White's Chief Counsel to Leave SEC
February 2
Schneider Tapped as Associate SF Regional Director
February 2
Ex-AUSA Naftalis Now Latham Partner
February 2
SEC Gets Judgment Against Ex-Comptroller
February 2
SIFMA, FIA to Hold Derivatives Forum
February 2
SIFMA Reminds Firms of Escheatment Duties
February 2
Dismissal of Suit Over Weight-Loss Drug Affirmed
February 2
Ponzi Schemer, Co. to Pay More Than $580M
February 2
Stock Lender Settles B-D Registration Charges
February 2
Lawsuit Seeking Dissolution of Keystone Equip. Nixed
February 2
SEC Gets Injunction Against Mass. Man, Four IAs
February 2
‘We Intend to Resolve the Ambiguities’: The SEC Issues Some Surprising Guidance on Fraud Liability in the Wake of Janus
February 2
Leveling the Field: Strategies to Respond to the SEC's Increased Reliance on Administrative Proceedings
February 2
4th Q Insider Cases Eclipsed By 2d Cir. Newman Decision
February 2
Compiled Information
February 2
EU Bank-Separation Push Falters As Lawmakers Split on Big Issues
February 2
Swiss, CFTC Reviewing Handling of Record Surge in Franc
February 2
Saxo Ordered to Give Details Of Franc Trades to Denmark's Regulator
February 2
Weavering Hedge Fund Founder Sentenced to 13 Years in Prison
February 2
Cyber Questions for Financial Firms Include Insurance Coverage, Prior Incidents
February 2
CFTC's Giancarlo Says U.S. Rules For Swaps Are ‘Fundamentally Flawed’
February 2
Giancarlo Says Position Limits Proposal Substitutes ‘Edict’ for Business Judgment
February 2
Spec Limits Proposal Interprets Hedging Too Narrowly, Commenters Say
February 2
IOSCO Issues Standards For Transacting Uncleared Derivatives
February 2
Scott to Chair New Ag Subcommittee on Exchanges
February 2
IBs See Staff Relief From Net Cap, Reporting Rules
February 2
SEC Staff Seeing Misreporting Of Joint Venture Entities, Release Says
February 2
General Cable Sheds Securities Suit Over Allegedly Fraudulent Financials
February 2
Failed Furniture Concern, Execs Defeat Claims Over Alleged Revenue Scheme
February 2
St. Joe Receives SEC Wells Over Accounting, Real Estate Valuations
February 2
SEC to Consider PCAOB Budget Feb. 4
February 2
SEC Grants Bid by 18 Law Firms For ‘34 Act Tender Offer Timing Relief
February 2
Oppenheimer Settles SEC Allegations, Gets ‘33 Act Relief from Disqualifications
February 2
Electronic Confirmation OK for ‘34 Act Confirmations for Institutional Customers
February 2
SEC Staff Grants Reporting Relief Related to $42.9B Medtronic-Covidien Deal
February 2
NASDAQ/Opening and Halt Cross
February 2
Option Clearing Corp./Clearing Fund Monthly Resizing
February 2
NYSE MKT/Closing of Securities Electronically by the Exchange
February 2
BX/Options Pricing
February 2
SEC/Investment Advisory Committee Meeting
February 2
AMSE/Exemption From Registration as a National Securities Exchange
February 2
SEC/National Market System Plan
February 2
BYX/Retail Price Improvement Program
February 2
BYX/Retail Price Improvement Program
February 2
ISE Gemini/Fee Schedule
February 2
BOX/Equity Rights Program
February 2
ISE/Schedule of Fees
February 2
MIAX/Risk Protection Monitor
February 2
SEC/Repurchase of Securities by Closed-End Companies
February 2
ISE/Opening Process
February 2
BX/Market Makers
February 2
NYSE MKT/NYSE MKT Integrated Feed
February 2
New York Stock Exchange/NYSE Integrated Feed
February 2
CFTC/Registration of Swap Data Repositories
February 2
CFTC/DCO Information Management Requirements
February 2