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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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EXPERT NEWS & COMMENTARY

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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SEC Chair Backs Universal Proxy Ballots, Says Staff Working on Rulemaking Proposal
June 29
Roundtable Needed on ‘Short-Termism;' Plenty of Blame to Go Around: Gallagher
June 29
SEC's Reg SCI Should Encompass More Market Participants, Aguilar Says
June 29
Review of Conflicting-Resolution Rule To End Before Next Proxy Season, SEC Says
June 29
SEC Staff Launches Review Initiative Aimed At Firms That Sell Retirement-Based Products
June 29
SEC to Appeal Federal Court Injunction Of Admin. Case in Constitutional Challenge
June 29
OK to ‘Test the Waters' for Reg A Offering On Twitter Via Hyperlink, SEC Staff Confirms
June 29
Harman Int'l Sees Revived Fraud Claims Over Statements About Financial Condition
June 29
Wall Street Could Save Billions On Swaps as Regulators Squabble
June 29
OFR Assesses Risks to Financial Stability As Moderate, Warns Against Complacency
June 29
Big Gap in Board Understanding Of Cyber Risks, NACD Survey Finds
June 29
Report Urges Compliance Officers To Evolve, Help Set Corporate Strategy
June 29
Trustee's Rebuff by High Court May Cut Recoveries for Madoff Victims
June 29
To Shop More Broadly for Deals, Bond Buyers Ease Rating Requirements
June 29
Blockchain Startup Joins Fray To Overhaul Banking Systems
June 29
Unregistered Firms Settle SEC Claims In Alleged Immigrant Residency Scheme
June 29
Banking, Insurance Regulation Standards Inapt for Capital Markets, IOSCO Head Says
June 29
Morgan Stanley, Scottrade Agree to Pay For Failing to Supervise Third-Party Transfers
June 29
SEC Sues Microcap Stock Promoter For Unregistered Sales of Penny Stock
June 29
China-Based Trader Sees Asset Freeze In SEC Suit Over $1M Insider Scheme
June 29
CUC International's Ex-CEO Loses Bid for New Trial
June 29
Primary-Dealer Trader Talk Is Open Secret As U.S. Collusion Probe Turns to Treasuries
June 29
SEC Staff Working on ‘Tricky Issues' In Release on Clawbacks, Official Says
June 29
Madoff Trustee, Plaza Fund Reach $140 Million Accord Over Ponzi
June 29
Companies Must Step Carefully In Confidentiality Pacts for Internal Probes
June 29
On Appeal, Wyly Relatives Battle SEC Over $300 Million in Court-Frozen Assets
June 29
Bharara Deputy Richard Zabel Leaving USAO for Elliott Management
June 29
SEC: ‘Marriage’ Includes Same-Sex Couples
June 29
Staffer Roeser Named to Market Supervision Slot
June 29
FINRA Alert: Asset Transfer Upon Investor's Death
June 29
AFL-CIO Files FOIA on SEC Chief of Staff Bonus
June 29
CBO: House SEC Bills Would Cost $1M to Implement
June 29
Angie's List Ducks Lawsuit Over Stock Price Drop
June 29
Lead Plaintiff OK'd in Suit Over Prearranged Trades
June 29
Las Vegas Sands Ducks Derivative Suit
June 29
Swiss Trader Pays $2.8M to Settle SEC Insider Suit
June 29
Omnicare and GAAP-Based ‘Numerical Opinions'
June 29
EU Reaches Deal on Bank Bill As France Wins Late Concessions
June 29
Dodd-Frank Hampers Canada's Too-Big-to-Fail Rules, Bank Official Says
June 29
Bankers Face 10-Year Bonus Clawback In Bank of England's Misconduct Proposal
June 29
Quindell Probed by U.K. Regulator, A Year After Gotham Research Report
June 29
Hong Kong Bourse Moves Closer Toward Allowing Dual-Class Shares
June 29
Ex-Porsche CEO Faces New Charges In VW Case, Amid Hedge-Funds Clash
June 29
Vietnam to End Limits on Foreign Investment In Effort to Sustain Rally in Equity Markets
June 29
South Africa Threatens Action As Hedge Funds Slow to Register
June 29
Steinhoff, Brait Share Movements Probed for Possible Insider Trading
June 29
Del. Fee-Shifting Bill Signed Into Law; Also Endorses Exclusive Forum Clauses
June 29
Parent Corporation May Sue Directly Even if Harm to Sub, Del. High Court Says
June 29
Subpoena Authority Very Important To State Regulators, NASAA Official Says
June 29
States' Reg A Plus Challenge Comes Into Focus
June 29
Parsons Won't Seek New Term on Del. Chancery
June 29
Cotton Hedgers Poised to Gain New Contract After House Passes Bill to Expand Listings
June 29
CFTC Working on Proposal To Protect Against Cyber Hacks
June 29
CFTC Still Challenged by Enforcing Dodd-Frank on Limited Budget, IG Reports
June 29
Bring Retail Forex Trading On-Exchange, Bowen Says at European Bank Gathering
June 29
CFTC, NFA Staffers Say Risk-Report Guidance Could Help FCMs Submit Better Reports
June 29
Defrauded Peregrine Customers Get $44.5 Million From U.S. Bank
June 29
Trade Options Should Be Excluded From Position Limits, Groups Tell CFTC
June 29
Former MF Global Trader to Pay $500K To Settle Futures Manipulation Allegations
June 29
CFTC Updates Guidelines for Large Swaps Reporting
June 29
CFTC Sets 7/15 Roundtable on Trade Determinations
June 29
Former CFTC Chairman Newsome Joins Bitcoin Firm
June 29
Ex-Accounting Official Didn't Allege He Engaged in Protected Activity, Court Says
June 29
Ex-Patriot Coal Execs Dodge Suit Over Accounting for Remediation Efforts
June 29
CII's Yerger to Join EY Center for Board Matters
June 29
CFTC/Exemptions from Speculative Limits
June 29
ICC/Risk Management Subcommittee
June 29
SEC/Lost and Stolen Securities Program
June 29
SEC/Solicitation of Proxies
June 29
SEC/Information Statement Requirements
June 29
SEC/XBRL Document Exhibits
June 29
NYSE Arca/Quote Mitigation Plan
June 29
NYSE MKT/Quote Mitigation Plan
June 29
National Market System Plan/Consolidated Audit Trail
June 29
SEC/Small Business Investment Company Registration
June 29
SEC/Distribution of Share Expenses for Open-End Investment Companies
June 29
CBOE/Fee Schedule
June 29
PHLX/Complex Order System
June 29
National Market System Plan/Consolidated Audit Trail
June 29
CBOE/Market Maker Solicited Orders
June 29
NYSE/Early Stage Companies
June 29
BATS/Options Fee Schedule for BATS Connect
June 29
FINRA/Series 4 Examination Program
June 29
ARCA/Newfleet Multi-Sector Unconstrained Bond ETF
June 29
PCAOB/Auditing Standards Reorganization
June 29
NASDAQ/Market Center Functionality
June 29
NASDAQ/Last Sale Plus
June 29
FICC/GCF Repo® Service Pilot Program
June 29
SEC/Investor Advisory Committee Meeting
June 29
CHX/Fee Schedule
June 29
Options Clearing Corp./Dashboard Reports
June 29
PHLX/Order Price Protection
June 29
BX/Order Price Protection
June 29
Options Clearing Corp./Clearing Fund Monthly Resizing
June 29
NASDAQ/Fees, Credits and Rebates
June 29
Bill to Keep SEC Funding Flat at $1.5B Gets Appropriations Committee Approval
June 22
U.S. Delays Decision on Appealing Newman Case That Threatens Bharara Success Legacy
June 22
SEC Chair's Conflicts Fuel Sympathy for Wall Street, Group Says
June 22
Spring Hill Challenges Appointment Of SEC Administrative Law Judges
June 22
SEC Judge Won't Weigh in on Bias, Declines Invitation Regarding Admin. Forum
June 22
Nominate Investor Advocates to SEC, Consumer, Labor Groups Tell White House
June 22
SEC Nominees Should Support Political Spending Transparency, Groups Say
June 22
Investor Group Asks SEC to Issue New Disclosure Requirements, Guidance
June 22
Law Firms, Business Group Ask SEC To Reinstate Conflicting-Resolution Rule
June 22
‘Cracks' Forming in Mutual Fund Laws, Could Require Regulations, SEC's Stein Says
June 22
Aguilar, Gallagher Push for SEC To Revamp Transfer Agent Rules
June 22
Goldman, Citigroup Among 36 Firms To Self-Report Lax Muni Disclosures to SEC
June 22
SEC Says Former Head of Investment Firm Used by Pro Athletes Misused Client Funds
June 22
SEC Suits Against Compliance Officers Sending Wrong Message, Gallagher Says
June 22
SEC Examining B-Ds to Ensure Compliance With Existing AML Obligations, Official Says
June 22
Accredited Investor Definition, BDC Expansion Taken Up by House Panel
June 22
World Entering ‘New Era' Of Global Crime, DOJ Official Says
June 22
CalPERS Turns to Separate Private Equity Accounts to Cut Future Investment Costs
June 22
Retirement Plan's Custodian On the Hook for Ignoring $5M Ponzi
June 22
Big Changes Coming In Executive Pay Arena, Consultant Warns
June 22
Senate's Warren Says Dimon Irked Because She Knows His Tricks
June 22
SEC Could Make Gabelli Pay New Front in Fight Over Income Divide
June 22
SEC Seeking Comments to Help Its Review Of More Complex Exchange-Traded Products
June 22
Goldman Makes Renewed Push In High-Speed Stock Trading
June 22
Greenberg's Limited Win a Blow To Schwarzman's Dodd-Frank Fight
June 22
Misrated Muni Market Hoists $1.8 Billion Annual Tab on Taxpayers
June 22
ICE Clear Seeking to Revise Risk-Management Framework
June 22
MetLife Asks for Summary Judgment In Suit Against ‘Systemically Important' Tag
June 22
So Far in Proxy Season, 32 Companies From Russell 3000 Fail Say-on-Pay Votes
June 22
Study: Institutions Use Proxy Voting To Voice Corporate Governance Concerns
June 22
Advocates of Two-Day Settlement Set Sights on Winning Over SEC, Others
June 22
Anti-Retaliation Claims Against ING Felled by Plaintiff's Failure to Report to SEC
June 22
Adviser, Fund Directors Lacked Basis For Approving Advisory Contracts, SEC Says
June 22
CLOs Deemed Bad for Banks In Volcker Rule Drop as Deadline Nears
June 22
HFT Nightmare Gets Some Validation, But Only for Whales
June 22
Washington to Bond Traders: We, Too Are Worried About Market Liquidity
June 22
Vanguard Plans Money-Fund Changes In Effort to Comply With New SEC Rules
June 22
PetroTiger's Former Co-CEO Avoids Prison in Bribery Case
June 22
California Man Sued by SEC For Trading on Brocade Takeover
June 22
SEC Slams Mass. Investment Firm, Owner For $17M Canadian Penny Stock Scheme
June 22
State Street Gets Wells Notice From SEC on Pension Soliciting
June 22
Online Exchange Will Pay $20K To Settle SEC Claims It Offered Illegal Swaps
June 22
Utah Professional Sees Asset Freeze In SEC Suit Over $2M Stock Scheme
June 22
Ex-Foundry Executive Riley Accepts Lifetime Ban in SEC Deal
June 22
New Yorker Will Pay Over $4M to Settle SEC Charges for Unregistered Brokerage
June 22
Defense Contractor IAP to Pay $7.1M To Settle FCPA Charges; Ex-VP Pleads Guilty
June 22
2d Cir. Affirms $15M Aeropostale Settlement
June 22
MSRB Boosts Disclosure for Muni Securities
June 22
MSRB Seeks to Ease Standard for Investor Rep
June 22
Tex. Lawyer, Co. Admit Wrongdoing, Settle SEC Suit
June 22
SEC Defendants Criminally Charged for Loan Scheme
June 22
Glass Lewis Acquires German Proxy Adviser
June 22
Ex-Law Firm Employee Settles Insider Suit for $520K
June 22
Santander Unit Gets Investor Suit Moved to Texas
June 22
The Appointment of SEC Administrative Law Judges: Constitutional Questions and Consequences for Enforcement Actions
June 22
Investigations and the Independent Auditor
June 22
EU Bill Sets $112 Billion Trading Threshold As Crunch Talks Resume on Regulating Risk
June 22
Bank Law Set for EU Ministers Talks After France Seeks Changes Aimed at U.K.
June 22
Repo Traders Face Tighter Disclosure Rules As EU Seeks to Enhance Market Oversight
June 22
More Regulation May Stifle Bond Trading, Canadian Dealers Say
June 22
Barclays, Citi, JPMorgan Face Korea Probe Into Currency Rigging
June 22
HSBC Chairman Flint Echoes Investor Bond Liquidity Worries
June 22
Former SEC Chairman Schapiro Joins London Stock Exchange Board
June 22
Fund Managers Win Reprieve As Too-Big-to-Fail Plan Shelved
June 22
Fee-Shifting Bill Moves to Governor's Desk; Del. House Unanimously Passes Measure
June 22
New York Top Court Ruling May Limit Future Mortgage Suits
June 22
N.Y. Bank Regulator's Top Deputy To Become Interim Financial Services Chief
June 22
Federal Judge Keeps PIMCO Suit Against AIG in California Superior Court
June 22
JPM Board Dodges Del. Law Action For Denying Suit Over London Whale Fiasco
June 22
Ag Committee Advances Futures Bill Giving Markets Flexibility on Foreign Cotton
June 22
‘All-or-None’ Deals Limited To Options on CME, CBOT as of July 6
June 22
Bipartisan Senate Bill Would Make CFTC Rule on Residual Interest Permanent
June 22
Swap Dealers, Major Participants Get Relief From Reporting; Staff Seeking Permanent Fix
June 22
NFA Developing Cybersecurity Guidance In Wake of Increasing Online Threats
June 22
International Groups Back ISDA Principles Aimed at Improving Derivatives Reporting
June 22
Futures Trader to Pay $1.2M for Secret Activity
June 22
Monster Beverage Wins Reporting Relief in Reorg Involving Coca Cola Deal
June 22
Cambria ETF Trust Wins Relief From ‘34 Act Tender Offer Restrictions
June 22
ISE/Fees for Complex Orders
June 22
BOX/Criteria for Underlying Securities
June 22
NYSE/Price List
June 22
NASDAQ/Options Market Order Price Protection
June 22
C2/Automated Improvement Mechanism Order Allocation
June 22
AMSE/Denial of Proposed Exemption from Registration as a National Securities Exchange
June 22
NYSE Arca/Regulatory Oversight Committee
June 22
NYSE MKT/Regulatory Oversight Committee
June 22
EDGA/Fee Schedule, Fee Code K
June 22
EDGA/Fee Schedule, Fee Code A and BATS Connect
June 22
EDGX/Fee Schedule, Fee Code K
June 22
EDGX/Fee Schedule, Fee Code A and BATS Connect
June 22
NYSE MKT/Price Protection for Market Maker Quotes
June 22
NYSE/New Market Model and Supplemental Liquidity Providers Pilot Programs
June 22
FINRA/Web-Based Delivery of Regulatory Element of CE Requirements
June 22
NYSE Arca/Price Protection for Market Maker Quotes
June 22
BATS/Fee Schedule, Fee Code A and BATS Connect
June 22
BYX/Fee Schedule, Fee Code A and BATS Connect
June 22
FINRA/Exemptive Relief from OATS Reporting
June 22
SEC/Exchange-Traded Products, Request for Comment
June 22
SEC/Semiannual Regulatory Agenda
June 22
NYSEMKT/Immediate Release Policy
June 22
Bill to Fund SEC at Same Level as 2015 Gets OK'd by Appropriations Subcommittee
June 15
Stivers: Republicans Will Use Appropriations To Propose Changes to Financial Regulations
June 15
Fire SEC's White, Watchdog Group Urges Obama; Revolving Door ‘Wide Open’
June 15
Baldwin Wants New SEC Nominees Who Will Prioritize Consumer Protection
June 15
AFL-CIO Urges New SEC Chief of Staff To Disclose Receipt of Any Departure Bonus
June 15
Ruling to Halt SEC Admin. Proceeding Gains Traction in Other Suits Against Agency
June 15
Admin. Judges Are Hired Unconstitutionally, SEC Commissioners Are Told During Appeal
June 15
Federal Court Pauses Insider Trading Case, Allowing Constitutional Claims to Go Ahead
June 15
Advisory Firm, Principals Absolved of Claims Over Disclosure of Fee-Sharing Arrangement
June 15
Financial Regulators Release Statement On Dodd-Frank Diversity, Inclusion Standards
June 15
Alphatec Dodges Claims It Misled Investors Over Merger; Ninth Circuit Affirms Dismissal
June 15
Barclays Says Lehman Accord To Boost Profit by $750 Million
June 15
High-Speed Trading Could Be Linked To Volatility Bump, Treasury's Berner Says
June 15
Argentina ‘Me Too’ Bondholders Not Treated Equally, District Court Says
June 15
High Asset Valuations, Economic Indicators Emerge as Near-Term Risks in EU, ESMA Says
June 15
Ex-Biotech Employee, Stockbrokers Hit With SEC, DOJ Insider Trading Suits
June 15
Convicted Executive's Family Won't Recover Bail Money Due to Their Illegal ‘Involvement'
June 15
‘Omnicare’ Decision Nets Subprime Plaintiffs Second Chance to Hold Deutsche Bank Liable
June 15
Prosecutors in Sweeping Insider Case Still Mulling Appeal to Supreme Court
June 15
‘Newman' Doesn't Get Two Dubai Insider Trading Defendants Off the Hook
June 15
Rajaratnam Wants New Trial Based on Newman Insider Ruling
June 15
Moody's Changing Disclosure Policies To Meet New SEC Rules Under Dodd-Frank
June 15
Speakers Agree on Uniform Identifier Benefits but Not on How to Expand Their Use
June 15
Ex-R.I. Bank Director, Three Others Sued by SEC for Insider Trading Scheme
June 15
SEC Pulls Plug on $4M Phony Hedge Fund Manager Scheme
June 15
Investors Too Reliant on Credit Ratings, IOSCO Says, Should Make Own Decisions
June 15
‘Reverse Life Insurance' Fraudster Sentenced to 10 Years, Must Pay $4.4M
June 15
President of N.J. Financial Services Firm Sentenced to 10 Years for Securities Fraud
June 15
Pharm Concern Bioscrip Can't Shake Claim It Misled Investors in 2013 Public Offering
June 15
Citigroup Paid 2,500 Times More for FX Rigging Than It Made
June 15
Anchorage, BlueMountain Said Seeking Fix to Credit-Swap Indexes
June 15
Canadian Trader Will Pay Over $1M To Settle SEC Charges He Shorted Stocks
June 15
More Shareholder Proposals Win Majority Support Due to Proxy Access
June 15
Collusion on Treasuries Reportedly Being Targeted in Next Wave of Probes
June 15
Trade Agreement Shouldn't Hinder Financial Regulations, Waters Tells Obama
June 15
FINRA Exec to Head SEC's Salt Lake Office
June 15
SEC Taps Staffer to Lead Broker-Dealer Exams
June 15
Stanford Execs Can't Upset 20 Year Sentences
June 15
$3M Fees/Expenses OK'd in OmniVision Class Suit
June 15
SEC to Release No-Review Registration Letters
June 15
Ann Yerger to Depart Institutional Investors Group
June 15
How to Succeed in SEC APs: 10 Inside Tips
June 15
House Passes CFTC Bill Curbing Agency's Reach Over Global Swaps Deals
June 15
Wall Street's Overseas Trades Need New Curbs, CFTC's Massad Says
June 15
Massad Sees Good Progress In EU Talks on Clearing Equivalence
June 15
Egregious, Unreasonable Conduct Can Bring Accountant Bars Under Amended CFTC Rule
June 15
Initial, Variation Margin Would Be Collected Under Europe Uncleared Margin Proposal
June 15
Facilitating Swaps for Int'l Financial Groups Will Not Trigger Registration, CFTC Staff Says
June 15
Minn. Grain Exchange Should Consider Hedge Exemption Application Process: CFTC
June 15
Trade Options Should Be Excluded From Position Limits, Gas Group Tells CFTC
June 15
Computer Sciences Will Pay $190M To Settle SEC Financial Fraud Charges
June 15
SEC Chief Accountant: Reports Of IFRS Death in U.S. Are Premature
June 15
FASB Begins Staking Out Alternatives For Simplifying Derivatives Accounting
June 15
CFTC/Suspension or Disbarment from Appearance and Practice
June 15
CFTC/Provisions Common to Registered Entities
June 15
OCC, FED, FDIC, CFPB, SEC/Standards for Assessing Diversity Policies and Practices
June 15
DTC/Distribution of Fractional Shares
June 15
SEC/Registered Transfer Agents Guarantee Standards and Recordkeeping Requirements
June 15
SEC/Public Disclosure of Material Information
June 15
SEC/Cash Payments for Client Solicitations
June 15
NYSE/Independent Director Requirements
June 15
White: No Immediate Rules Coming On Insider Trading After Newman Decision
June 8
Crowdfunding Rule Should Be Done By the End of 2015, SEC's White Says
June 8
Ex-Banking Panel Aide Said to Be Leading Candidate for SEC Seat
June 8
Piwowar: Lessen Role of Third Parties In SEC's Post-Enforcement Compliance
June 8
SEC Asks ALJ If He Was Pressured To Rule for Agency in Enforcement Cases
June 8
Tough Questions for Both Sides As 7th Cir. Hears Challenge to SEC Forum
June 8
Sen. Warren Rips White's Tenure at SEC, Points to CEO Pay, Rule Backlog, Waivers
June 8
Expand Resale of Private Securities With Rule, Advisory Committee Tells SEC
June 8
Revamp ATS, Order Routing Disclosures, Maker-Taker Model, New Democrats Tell SEC
June 8
Yellen Urged to Steer Global Regulators Away From Too-Big-to-Fail Designation
June 8
JPMorgan Partly Escapes Liabilities Related to 2008 WaMu Takeover
June 8
Better Markets Knocks FINRA's Ketchum For Stance on Labor's Fiduciary Proposal
June 8
Futures Trade Group Warns of Costs In SEC Proposal on Algorithmic Oversight
June 8
Group Asks SEC to Address Impartiality Over Disclosure of Preliminary Vote Tallies
June 8
Hedge Funds Seeking Insider Advantage By Filing Patent Cases, Senator Tells SEC
June 8
Exclusions Wouldn't Overly Skew Pay Ratio, SEC Posits in Analysis of Forthcoming Rule
June 8
Ex-UBS Execs Can't Upset Convictions Over Schemes to Defraud Municipalities
June 8
Merrill Admits Short-Sale Practices Faulty, Will Pay $11M to Resolve SEC Complaint
June 8
Tarullo Says Asset-Manager Oversight Focus Should Be on Industrywide, Not Single Basis
June 8
FXCM's Swiss Franc Losses Prompt Call for Tougher Rules on Currency
June 8
Bankers Should Be Punished For Financial Crimes, Fischer Says
June 8
SIFMA Pitches Best-Interest Standard As Counter to DOL Proposed Fiduciary Rule
June 8
Bulgarian Resident Accused By SEC in Avon Takeover Hoax
June 8
Death Bond Investors Risk Total Loss In Bankruptcy of Life Settlement Concern
June 8
Four Men Posed as Portfolio Managers In Alleged $4.4M Insider Trading Scheme
June 8
Madoff Trustee Gets $35 Million, Makes Another Try at $4.3 Billion
June 8
Advisory Exec Argues to Second Circuit, Administrative Proceeding Unconstitutional
June 8
Convicted Securities Fraudster Gets Second Chance at Sentencing
June 8
Investment Adviser, Owner Agree To Pay $1M, Ending Two SEC Fraud Suits
June 8
Use Social Media to Build Engaging Compliance Program, Panelist Says
June 8
Hundreds of Madoff Trustee's Suits Survive Against Net Winners
June 8
Two Canadian Stock Promoters Plead Guilty For Roles in $17M Pump-and-Dump Scheme
June 8
Miami Investment Adviser Pleads Guilty, Will Pay $748K for $2M Ponzi Aimed at Retirees
June 8
Pending Dodd-Frank Rules, Investors Complicating Compensation Committee Jobs
June 8
Democrats Seek DOL Hearing on Bid By Guilty Banks for Adviser Waivers
June 8
SEC: Beware Investment Fraudsters Lying About Professional Qualifications
June 8
SEC's Rice, IAA's Tittsworth Move to Ropes & Gray
June 8
Moody's Ratings Now Available on EMMA Website
June 8
Expanded Data on Asset-Backed Securities Available
June 8
Report: SEC Mishandling FOIA Requests
June 8
Ariz. Co., President Sued for Market Manipulation
June 8
An Uptick in IPO Litigation and Practical Takeaways from ‘In re Zynga Inc. Securities Litigation'
June 8
Buck to Stop With Bankers as G-7 Ministers Seek Conduct Code for Lenders, Individuals
June 8
ICAP Said to Consider Circuit Breakers As Safeguard for Treasury Bond Trading
June 8
Rand-Rigging Investigator Alleges Widespread Collusion
June 8
We're Not Lehman 2.0, Global Asset Managers Tell Carney's FSB
June 8
Hoekmark Remains Opposed To Forced Splitting of Banks in EU Bill
June 8
Texas Business Judgment Rule No Bar To Derivative Suit for Closely Held Entity
June 8
Fee-Shifting Bill Sails Through Committee; Delaware House Vote Likely Week of June 8
June 8
CFTC May Place Registration Mandate On Some High Speed Traders, Massad Says
June 8
Derivatives Rules Draining Liquidity From Markets, CFTC's Giancarlo Says
June 8
Derivatives Liquidity Conditional; Volume For Interest Rates Now Vulnerable, Exec Says
June 8
Aus. Clearinghouse Seeks First Exemption From CFTC Under Substituted Compliance
June 8
President Would Veto CFTC Bill, Saying It Undermines Agency, Commercial Hedgers
June 8
Lawmaker's Love Fest With CFTC Chief Dissolves in Split Over Reauthorization Bill
June 8
ICE Futures Codifying Ability to Use, Distribute Participants' Non-Regulatory Data
June 8
CFTC Trial Lawyer Rejoins Skadden
June 8
Family First! OIA Chief Returns to Deputy Slot
June 8
Ernst Sheds Securities Act Suit Over Failed Shipbuilder's Financials
June 8
ShengdaTech Directors Beat Bid to Revive Class Suit
June 8
EY Lays Out Steps for Tipster Hotlines
June 8
Archer Daniels Midland Won't Be Deemed ‘Ineligible Issuer' Due to FCPA Settlement
June 8
Merrill Gets ‘33 Act Relief After Admitting Faulty Short-Sale Practices; Will Pay $11M
June 8
CFTC/Trade Option Counterparties
June 8
MSRB/Real-Time Transaction Reporting System and Subscription Service
June 8
NYSE MKT/Order Types and Modifiers
June 8
SEC/Registration of Insurance Company Separate Accounts
June 8
SEC/Fund Relationships with Transaction Underwriters
June 8
SEC/Registrant Reporting Under Form SE
June 8
SEC/Bonding of Officers and Employees of Funds
June 8
NYSE/Order Types and Modifiers
June 8
NYSE/Review of Delisting Decisions
June 8
FINRA/TRACE Reporting
June 8
NASDAQ/Reopening of Facebook IPO Claims Process
June 8
ICE Clear Europe/CDS Procedures
June 8
FINRA/Credit Default Swaps Interim Pilot Program
June 8
SEC's Gallagher Said to Resign As Commissioner After Four Years
May 18
Cyberattacks ‘Biggest Systemic Risk,' SEC Moving on Asset Management Rules
May 18
SEC to Examine Real Estate, Credit IAs Over Disclosure, Allocation Concerns, Official Says
May 18
Ceresney Pushes Cooperation Agreements, Says Agency Will Use More Reverse Proffers
May 18
SEC Litigation Docket Continues to Expand, Helps Develop Effective Policy, Ceresney Says
May 18
SEC Sues ITT Educational for Fraud, Alleges Company Concealed Bad Loans
May 18
Nationwide to Pay $8M For Violating Mutual Fund Pricing Rules
May 18
Avon Says It Never Got Bid That Sent Its Shares Surging
May 18
SEC Faces Lawsuit From Nonprofit To Force Political Disclosure Rulemaking
May 18
Shelby Offers Dodd-Frank Revamp With Tough Road to Enactment
May 18
Brokers' Relief Bill Might Lower Standards Without Equal Benefit, SIFMA Tells Congress
May 18
Panel Sets May 21 Markup on Bank Bill After Democrats Complain Not Enough Time
May 18
House Financial Services Panel Subpoenas Justice, Treasury, New York Federal Reserve
May 18
FINRA Urges Tougher Sanctions For Antifraud, Suitability Violations
May 18
Little Agreement to Be Found As Advisory Committee Tackles Rule 611
May 18
CalPERS’ Pension Hammer Forces Judge Into ‘Unfair’ Ruling on Bonds
May 18
Banks Face Crunch Time In Bid to Soften Too-Big-to-Fail Fix
May 18
Citigroup Filing Says DOJ Declined to Prosecute on Libor Rigging
May 18
FSOC Defends Legitimacy of SIFI Tagging In Redacted Motion in MetLife Inc. Lawsuit
May 18
U.S. Said to Seek Guilty Pleas From Banks’ Parent Companies
May 18
UBS Guilty Plea for Libor Seen Opening Door to Political Battle
May 18
Perella Weinberg's Stewart Charged With Trading on Inside Merger Data
May 18
Ex-Ameriprise Rep Agrees to Settle Insider Suit Involving AA Confidante
May 18
Nomura, RBS Slammed by Judge For ‘Enormous’ Mortgage Deception
May 18
Former Broker Seeks High Court Review Of Failed Bid to Remove BrokerCheck Data
May 18
Short-Swing Suit Against WPCS Survives; Investors Allegedly Formed §13(d) Group
May 18
Health Care Concern HMA Ducks Investor Suit Over Alleged Medicare Fraud
May 18
SEC Obtains Asset Freeze Against Investment Professional for Self-Dealing
May 18
Ponzi Defendants Can't Shake Receiver's Bid to Recover Cash
May 18
SEC Pulls Plug on Alleged $15M Ponzi Involving Short Term Loans to Farmers
May 18
Fired Law Firm Can't Shed Defendants in SEC Suit as Clients
May 18
Committee Taps Mercatus Scholar as Economist
May 18
Brokers May Register for Compliance Outreach
May 18
White House Renominates Bains for SIPC Post
May 18
Morgan Stanley to Pay $2M to Settle FINRA Claims
May 18
SEC Turns to Court Action to Enforce Subpoenas
May 18
General Cable Ducks Bid to Revive Securities Suit
May 18
8th Cir. Affirms Three Ponzi Schemers' Sentences
May 18
R.I. Investment Adviser, Man Sued for Stealing Funds
May 18
Firm, Principals Deceived Retirees, SEC Says
May 18
Implications of ‘Omnicare'
May 18
Europe Likely to Resolve Clearing Conflict With U.S., London Exchange Chief Exec Says
May 18
Canada's Oliver Says Volcker Rule Violates NAFTA, Wants Exemption
May 18
Del. High Court Reverses; Clarifies ‘Emerald' Precedent, Scope of §102(b)(7)
May 18
Del. Senate Passes Bill Invalidating Fee-Shifting Provisions in Stock Corporations
May 18
CFTC to Drop Confirmation Data Reporting; Massad Also Calls for Higher Penalty Caps
May 18
CFTC Looking at Relying on Exchanges To Help Vet Non-Enumerated Exemptions
May 18
CFTC May Seek Comment on Clearing Risk In Early 2016, With Eye on Issuing Guidance
May 18
CFTC Bill Curbing Foreign Reach Advances Amid Democrat Backlash
May 18
Contracts With Optionality Embedded To Address Risk Likely Swaps, CFTC Says
May 18
Position Limits Not Needed For Energy End-Users, Giancarlo Says
May 18
Warren, Vitter Target Fed Bailouts, Goldman Sachs Commodities Business
May 18
Morgan Stanley to Sell Oil-Merchanting Unit to Castleton
May 18
Ag Firm Pays $480K to Settle Cotton Reporting Case
May 18
Investor Group Urges FASB to Prescribe More Transparency in Cash Flow Numbers
May 18
Shakeup in SEC's Chief Accountant Office
May 18
Energy Firm Helmerich & Payne Wins Relief From Being Deemed ‘Ineligible Issuer'
May 18
CFTC/Bankruptcies of Commodity Brokers
May 18
CFTC/Notification of Pending Legal Proceedings
May 18
CFTC/Conflict of Interest Procedures
May 18
NYSE/Nondisplay Declaration Late Fee
May 18
NASDAQ OMX PHLX/Options Floor Broker Management System
May 18
NYSE MKT/Nondisplay Declaration Late Fee
May 18
NYSE ARCA/Nondisplay Declaration Late Fee
May 18
SEC/Exemption From Registration of Securities Under Regulation E
May 18
NASDAQ/Market Center Functionality
May 18
SEC/Elevated Risk Complex Structured Finance Transactions
May 18
NYSE MKT/Nondisplay Declaration Late Fee
May 18
FINRA/Sales of Securities on Military Installations
May 18
SEC/Joint Industry Plan for Tick Size Pilot Program
May 18
Options Clearing Corp./Capital Requirements for Banks Issuing Letters of Credit
May 18
SEC/Security-Based Swap Transaction Requirements
May 18
C2/Nullification and Adjustment of Erroneous Options Transactions
May 18
ICC/Physical Settlement of CDS Contracts
May 18
NASDAQ/Nullification and Adjustment of Erroneous Options Transactions
May 18
BX/Nullification and Adjustment of Erroneous Options Transactions
May 18
SEC/Notification of Late Filing of Periodic Reports
May 18
SEC/Registrant Reporting under Form TH
May 18
DTC, NSCC/Renewal of Existing Line of Credit
May 18
MIAX/Nullification and Adjustment of Erroneous Options Transactions
May 18
CTA/Amendment to the CTA and CQ Plans
May 18
Joint Self-Regulatory Organization Plan Amendment
May 18
SEC/Disclosure of Penny Stock Transaction Compensation
May 18
SEC/Registration of Insurance Company Separate Accounts
May 18
IA Exams at Risk Without Funding Bump, SEC Weighing Forum Guidelines, White Says
May 11
SEC Approves Two-Year Tick Pilot Program, Nudges Market-Cap Threshold Down to $3B
May 11
Tick Pilot Draws Lawmaker Praise, Harsh Criticism From Consumer Group
May 11
SEC Taps Acting Director Grim To Head Investment Management Division
May 11
‘No Rigid Formula' for Proceedings, SEC Says in Forum Selection Guidance
May 11
SEC's Waivers Should Have Conditions To Bolster Deterrent Effect, Stein Says
May 11
Stein Objects to ‘Ineligible Issuer’ Waiver For Deutsche Bank in Wake of Settlement
May 11
Warren Says Dodd-Frank Would Be Casualty of Fast-Track Trade Measure
May 11
Barclays Wins $4 Billion Lehman Clash As U.S. Supreme Court Declines Review
May 11
Study Sees Dodd-Frank Toll on Economy; Response Challenges Claims as Exaggerated
May 11
Reed, Rounds Want Answers From SEC On How Agency Is Handling Newman Fallout
May 11
BlackRock on Mission to Save Credit-Default Swaps Market Sector
May 11
Tippers in Martoma Insider Case Received Personal Benefit, DOJ Argues
May 11
Don't Rely on Credit Rating Agencies To Measure Risk, IOSCO Tells Intermediaries
May 11
Ripple Labs Fined $700K by FinCEN In First Action Against Virtual Currency Co.
May 11
SEC to Bring New Kinds of Cases On Financial Reporting, FCPA Violations
May 11
Shareholder Activism May Require Changes in 10 Pay Areas, Attorney Says
May 11
Russia, Africa Top Hot Spots For Global Corruption Risks
May 11
Ex-Bank Officials Hid Loans During Financial Crisis, SEC Alleges
May 11
Independent ‘Flash Crash’ Probe Needed, Ex-Senator, Non-Profit Exec Tells Lawmakers
May 11
Chicago U.S. Attorney Fardon Hails Successes Under New Financial Crimes Unit
May 11
Large U.S. Companies Fielding More Shareholder Proposals, Early Report Finds
May 11
Dutch Biotech Concern Dodges Investor Suit Over Phase III Trial
May 11
Ex-New Stream Execs Get Prison Terms for Fraud Scheme
May 11
Indiana Man and Daughter Settle SEC Suit Over Investment Fraud Scheme
May 11
Registration Open for Reg SCI Outreach Programs
May 11
LPL Agrees to Pay $11.7M for Supervisory Failures
May 11
Urban Outfitters Can't Shake Off Would-Be Class Suit
May 11
Would-Be Class Suits Over Alibaba IPO Consolidated
May 11
Alabama Man, Co. to Pay $1M to Settle SEC Suit
May 11
Convicted Fraudster's FOIA Bid Fails
May 11
Prior Bad Acts Admissible Against Alleged Scammer
May 11
SEC Halts $62M Oil Field Housing Scheme
May 11
What's Left of Koehler? The New York Court of Appeals’ Endorsement of the Separate Entity Rule Eviscerates Its Koehler Decision From Just Five Years Ago
May 11
Libor-Rigging Case Headed to Court After 7 Years
May 11
Goldman Back on the Hook In N.Y. Law Suit Over Abacus Deal
May 11
Viaticals Are Investment Contracts Under Texas Securities Act, Court Holds
May 11
Merger Price Provided Fair Appraisal Value; Delaware Court Nixes Alternative Valuations
May 11
CFTC Can't Fulfill Duties Without Full Funding, Massad Tells Senators
May 11
U.S., EU Seek Mid-Year End to Rift Over Rules for Derivatives Clearing
May 11
Governance Rule for Registrants Should Be CFTC Priority, Bowen Says
May 11
Products That Aid Carmaker Financing Exempt From Clearing, CFTC Staff Clarifies
May 11
CFTC's MRAC to Discuss Cybersecurity 6/2
May 11
Nodal Clear Seeks CFTC Registration
May 11
FCStone to Pay $140K to Settle Supervisory Claims
May 11
CFTC Alleges Spoofing by UAE Residents
May 11
Release on Audit Committee Disclosures Near Issuance, SEC's Chief Accountant Says
May 11
Adams Diversified Equity Fund Gets 1940 Investment Company Act Relief
May 11
CFTC/Large Trader Reports
May 11
CFTC/Market Risk Advisory Committee Meeting
May 11
CFTC/Trade Option Counterparties
May 11
SEC/Account Statements for Penny Stock Customers
May 11
SEC/Annual Reporting Requirements for Transfer Agents
May 11
NASDAQ/Options Market Fees and Charges
May 11
NASDAQ OMX BX/Options Participant Fees and Charges
May 11
NASDAQ/Collection of Fees and Claims
May 11
NYSE Arca/Regulatory Oversight Committee
May 11
NYSE MKT/Regulatory Oversight Committee
May 11
SEC/Contractor Workforce
May 11
SEC/Delivery of Prospectuses
May 11
NASDAQ/Port Fees
May 11
DTC/Settlement Balances by Settling Banks
May 11
DTC/Fee Schedule
May 11
ISE/Generic Listing Standards for Exchange-Traded Funds
May 11
PHLX/Pricing Schedule
May 11
NYSE/Order Imbalance Information for IPOs
May 11
NYSE MKT/Order Imbalance Information for IPOs
May 11
NYSE MKT/Quote Takedown Service
May 11
NYSE Arca/Quote Takedown Service
May 11
Options Clearing Corp./Energy Futures Transactions
May 11
NYSE/Early Stage Companies
May 11
CBOE/Fee Schedule
May 11
SEC/Pay Versus Performance
May 11
MSRB/Municipal Advisor Representative Qualification Examination
May 11
MSRB/Standards of Conduct for Advisors
May 11
New Security-Based Swap Requirements Proposed by SEC for Cross-Border Deals
May 4
SEC Proposes Pay v. Performance Rule, Uses Total Shareholder Return as Key Metric
May 4
White Defends Whistle-Blower Program, Urges Firms to Take ‘Hard Look' at Culture
May 4
Whistle-Blower to Take Home $600K+ As Part of SEC's First Retaliation Proceeding
May 4
Stein: Regulators Have Role to Play In Encouraging Long-Term Behavior
May 4
Ketchum: CARDS Initiative on Hold; Industry Privacy Concerns Toppled Project
May 4
National Exam Program, Topics of Interest On Agenda for Staff Compliance Seminars
May 4
Insider Trading, Financial Reporting, FCPA Are SEC Enforcement Priorities
May 4
GAO: Risk Management Lagging In SEC's Oversight of Self-Regulator
May 4
Advocacy Groups Press SEC Again To Act on Political Disclosure Rule Petition
May 4
Bipartisan Senate Bill Would Mandate SEC Disclosure of Deductions in Settlements
May 4
Bipartisan House Bill on Cybersecurity To Be Introduced by Neugebauer, Carney
May 4
Senate's Warren Targets Cruises, iPads in Probe of Finance Perks
May 4
House Republicans Push Capital Formation Bills
May 4
Dangers From Trading Algorithms Highlighted by Global Regulators
May 4
Investors May Borrow Dark Pool Claims By NYAG Schneiderman, Federal Judge Says
May 4
Preemption Challenge Topples Claims Exchanges Favored High-Freq Traders
May 4
Global Regulators’ Influence Over U.S. Called Into Question by FSOC Member
May 4
Hedge Fund, Execs, Auditor Agree to Pay $750K to Settle Fund Allocation Allegations
May 4
Ex-Two Sigma Analyst Sentenced to 10 Months for Data Theft
May 4
SEC Wins Asset Freeze In Insider Case Tied to Chinese Merger
May 4
Cadwalader's Kuczajda Moves to FINRA
May 4
MSRB Board Weighs Pre-Trade Data on EMMA
May 4
Controlling Access Key to Addressing Cyber Risk
May 4
Broker-Dealer, CEO Agree to Halt Sales
May 4
Exec Who Embezzled From Hedge Fund Gets 4 Years
May 4
Ex-Foundry Exec Gets 78 Months for Illegal Tips
May 4
Delaware Supreme Court Opinion on Forum Use Restrictions in Stockholder Books and Records Actions Highlights Desirability of Forum Selection Charter and Bylaw Provisions
May 4
Hard Road Ahead for Plaintiffs Under Omnicare Decision, Lawyer Says
May 4
Parliament to Back EU Ban On Banks’ Money-Fund Support
May 4
EU Probes Redemption Risk For Bond Funds Amid Liquidity Concerns
May 4
Clearinghouse Deal Eyed by May 7 To End EU-U.S. Swaps Rule Spat
May 4
S&P Sees $29B in Conduct Costs For U.K. Banks in Next Two Years
May 4
Trade-Option Reporting Duties Would Be Eased Under CFTC Proposal
May 4
CFTC Adopts Interpretation to Reduce Confusion on Volumetric Optionality, Swaps
May 4
Giancarlo Seeks More Swaps Changes Following Spate of Staff Relief on Platforms
May 4
FIA Global Recommends Clearinghouses Raise Initial Margin Amounts to Mitigate Risk
May 4
Senators Introduce Bipartisan Bill To Relieve Utilities of Certain Swaps Rules
May 4
Global Markets Panel to Discuss Clearing, Margin
May 4
Ex-Symbol Tech. Exec to Pay $90K Over Alleged Role in Accounting Scam at Entity
May 4
Hertz Global Gets Staff OK For Awards of Unregistered Stock Units
May 4
Chile Gains Staff Relief To Ease Process for Debt Offerings in U.S.
May 4
Tudor Employee Investment Fund Gets Relief From Previous Waiver of Management Fees
May 4
CFTC/Global Markets Advisory Committee Meeting
May 4
CFTC/Review of Swaps for Mandatory Clearing
May 4
NYSE Arca/Interruption in Trading Billing Calculations
May 4
BX/Fees and Credits
May 4
ISE Gemini/Information Barriers
May 4
SEC Meeting/Security-Based Swaps and Executive Compensation
May 4
CBOE/Trading Floor Equipment and Communication
May 4
BX/Equities Market Participant Registration
May 4
NASDAQ/Market Participant Registration
May 4
SEC/Equity Market Structure Advisory Committee
May 4
NASDAQ/Closing Process
May 4
NYSE Arca/Order Types and Functionality
May 4
CBOE/Submission of Financial Reports
May 4
NASDAQ OMX PHLX/Specialists and Foreign Currency Options
May 4
FINRA/OTC Equity Trade Reporting and OATS Reporting
May 4
SEC/FASB Accounting Support Fee
May 4
ISE/Fee Schedule
May 4
MIAX/Customer Cross and Qualified Contingent Cross Orders
May 4
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