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SEC
Latest Headlines
Latest Headlines
SEC steps up cost analyses
It's been noted before that the appellate court ruling that struck down the so-called proxy access rule, which had previously been hailed as a major "reform" passed as part of Dodd-Frank, was the shot heard around the economy.
SEC charges another Chinese company
A few years ago, we noted the many Chinese companies seeking to list ADRs in the U.S. seemed to embrace the Sarbanes-Oxley process as de facto proof that the company was sound.
SEC probe investigates HFT
The fact that the SEC is looking at the high-speed, collocation-driven low latency services offered by exchanges is hardly a surprise.
Update: CAT coming soon
Mary Schapiro, chairman of the SEC, has done nothing to dampen expectations about the proposed consolidated audit trail (CAT) system, which would in its final form track all trades across all markets in an effort to generate metrics to measure systemic risk.
SEC, CFTC propose Red Flags rule implementation
Recall that the path to the implementation of the Red Flags rule was fraught with delays , as opponents contested the FTC's ability to implement the law in specific industries.
SEC pays whistleblowers well, not so at the FBI
We noted over on FierceFinance recently that the FBI has launched a branding campaign of sorts on Wall Street.
Whistleblowers ponder FBI vs. SEC
Let's say you've got the goods on your company. You know, and more importantly can prove, that your company is engaged in fraud. You've raised the issue with your boss and have been told not to worry about it. What do you do?
Government foots legal bills for ex-Fannie Mae execs
The Federal Housing Finance Agency, which was set up to essentially wind down the big housing GSEs, has found itself in a rather odd position.
SEC expands ETF inquiry
When the SEC's inquiry into exchange traded funds came to light, most people assumed that the focus was on leveraged ETFs and volatility.
Michael Steinhardt censured over trades
Hedge fund "legend" Michael Steinhardt is no stranger to regulatory controversy. Recall that in the early 1990s he and his firm were investigated for attempting to manipulate the short-term
