Regulations 

Seven More Charged in Insider Trading Probe November 05, 2009 | The latest charges include current and former employees at Galleon Group as well as Incremental Capital and the law firm Ropes & Gray. The charges focus on insider trading activities around mergers and acquisitions.

Victims Upset by 'Madoff Auctions'
November 02, 2009 | Victims of jailed U.S. financier Bernard Madoff say they're upset at organizers of <Q>Madoff auctions</Q> who claim to be selling victims' items.

Madoff: SEC Could Have Had Him Earlier
November 02, 2009 | Jailed former financier Bernard Madoff says lack of basic investigatory moves by the U.S. Securities Exchange Commission allowed his Ponzi scheme to flourish.

Washington Reacts to Treasury Plan
October 30, 2009 | Lawmakers and economists have expressed doubts about a major U.S. Treasury Department proposal to regulate future financial crisis.

Miami Money Manager Arrested in K1 Probe
October 30, 2009 | A Miami money manager tied to the German hedge-fund firm K1 Group was arrested on money-laundering charges after a sting operation, U.S. prosecutors said.

Pay Czar Says Seven Firms is Enough
October 28, 2009 | Special pay master for the U.S. Treasury Kenneth Feinberg told a congressional panel his jurisdiction should be limited to his current case load of seven firms.

Senate Subcommittee Questions Industry Insiders on Market Structure Issues
October 28, 2009 | Lawmakers gathered for a hearing to question industry participants and gather information on dark pools, high frequency trading, sponsored access and flash orders.

SEC Drafting Proposals on Sponsored Access, HFT
October 27, 2009 | At SIFMA's Annual Meeting SEC Chairman Mary Schapiro announced that she has asked her staff to come up with two new market structure proposals focusing on sponsored exchange access and high frequency trading.


More
Washington Tackles 'Too-Big-to-Fail' Firms October 26, 2009
SEC Takes Dramatic Stance on Dark Pools with Rule Proposal October 21, 2009
Senator Schumer's Six Proposals for ATS Regulation October 21, 2009
Axelrod: Banks Should Rethink Bonuses October 18, 2009
UBS Bailout Deemed Success by Swiss October 18, 2009
Shareholders Challenge Goldman's Bonus Plans October 15, 2009
Madoff Reported in Prison Shoving Match October 15, 2009
Financial Services Regulation Gets Airing October 14, 2009
Brit Hedge Fund Blasts Russian Corruption October 13, 2009
Toxic Commercial Loans Plague Small Banks October 13, 2009
Hackers Arrested in U.S. Bank Phish Case October 07, 2009
SEC Proposes Flash Order Ban September 18, 2009
Spotlight on Regulation: The New Rules of the Game September 15, 2009
PhaseCapital Passes on Sponsored Access In Favor of DMA September 03, 2009
SEC Summary: Madoff Intimidated Examiners September 02, 2009
SEC Internal Report on Madoff Could Be Out This Week September 02, 2009
Naked Access Attracts High-Frequency Traders, Gets Regulators’ Attention September 02, 2009
Camper Appointed Gov Affairs Head at NYSE Euronext August 24, 2009
Seth Merrin Examines the Pros and Cons of High Frequency Trading August 19, 2009
Ex-Credit Suisse Broker Convicted of Securities Fraud August 19, 2009
Schumer Announces That SEC Plans to Ban Flash Orders August 04, 2009
Ruth Madoff Faces Lawsuit From Picard to Recover $48 Million July 30, 2009
CME CEO Cautions CFTC on Position Limits for Energy Futures Trading July 28, 2009
SIFMA Supports Single Systemic Regulator and Financial Services Oversight Council July 22, 2009
CBOE Chairman William Brodsky Tells Congress Consolidation of Regulatory Agencies Is Necessary July 17, 2009
FRSGlobal Unveils ReportBuilder TNG July 16, 2009
Citadel Files Lawsuit Against Former Traders at FIrm Linked to Ex-Goldman Programmer July 10, 2009
Madoff Sentenced to 150 Years in Prison June 29, 2009
Jordan & Jordan Trade Analytics Test Short Sale Proposals June 23, 2009
FlexTrade Proposes Technology Solution for Naked Short Selling in Letter to SEC June 15, 2009
Nasdaq Rolls Out Flash Orders to Market Participants As Debate Stirs June 02, 2009
FSA Fines Morgan Stanley for Trader Mis-Marking May 14, 2009
WFE Responds to IOSCO Report on Short Selling Regulation May 12, 2009
Thomson Reuters Addresses New FSA Requirements May 11, 2009
STA Implores SEC to Think Out of Box on Uptick May 07, 2009
FINRA’s Ketchum Outlines Areas in Need of Regulation May 07, 2009
New SEC Recruitment Initiative to Help Identify and Assess Market Risks May 01, 2009
Bringing Transparency to Pricing and Valuations April 20, 2009
The Downside of an Uptick Rule April 16, 2009
The Undesireable Effects of Banning Short Sales April 16, 2009
SS&C Adheres to ISDA CDS Standards with New Release April 15, 2009
Algorithmics Names Top 5 Liquidity Risk Issues April 14, 2009
SEC Outlines Potential Short Sale Curbs April 08, 2009
Feeder Funds: Recent Charges Signal Accountability April 02, 2009
Judge Freezes Assets of Madoff Sons, Hedge Fund Execs April 01, 2009
Industry Needs One Regulatory Voice March 26, 2009
ISE Proposes Regulatory Reforms March 26, 2009
Combating Shortselling: Exchanges Submit Comment Letter to SEC Proposal March 24, 2009
TradeStation Receives Non-Compliance Letter From NASDAQ March 13, 2009
Madoff Pleads Guilty, Jailed: "Deeply Sorry and Ashamed" March 12, 2009
SIX Swiss Exchange fines Dresdner Bank AG London Branch March 12, 2009
NYSE Regulation Appoints Interim CEO March 05, 2009
Wall Street to Fight Proposed .25% Tax on Executions to Pay for Bailout February 25, 2009
How to Transform the SEC Into a ’21st-Century Regulator’ February 20, 2009
Which Regulator Does What on Wall Street? February 20, 2009
SEC Chairman Mary Schapiro Outlines Priorities February 20, 2009
SEC Enforcement Director Thomsen Resigns February 09, 2009
Markopolos: SEC a Group of Chickens Tasked with Catching Foxes February 06, 2009
Whistle-blower Markopolos: In Less Than Four Hours I Knew Mathematically Madoff Was a Fraud February 04, 2009
Compliance to Take Center Stage if SEC Registration is Required of Hedge Funds February 02, 2009
How He Got Away With It: SEC Officials Grilled on Madoff Shortcomings January 29, 2009
What Is a Fund Administrator? January 29, 2009
Proposed Bill: $110 Million to Crack Down on Wall Street Fraud January 27, 2009
SEC Enforcement, Compliance Officials to Testify at Madoff Hearing January 27, 2009
Risk Management Consumes Buy-Side Traders Amid Volatility January 20, 2009
Former SEC Chairman Pitt: Outside, Independent Exams Necessary January 12, 2009
Markets Still Need That Human Touch January 09, 2009
Regulatory Push for Clearing Platforms in Credit Derivatives Could Pave the Way for E-Trading January 08, 2009
CDS Central Clearing Platforms Approved by Regulators December 30, 2008
Obama Taps Schapiro To Head SEC December 18, 2008
Hedge Funds Could Be A Source of Recovery for Victims of Madoff’s Swindle December 18, 2008
Obama To Choose Schapiro to Head SEC December 18, 2008
Bernie Madoff on Violating Rules (Video) December 15, 2008
Will the Next Wall Street Be the Last? November 12, 2008
STA Announces New Officers and Board October 21, 2008
Tabb Says of IBanks: New Governance, More Regulation, Potential Custodian Acquisitions, and a New Breed of Smaller IBanks to Emerge. October 15, 2008
Knight Unveils NetDelta Settlement Platform for Credit Derivatives October 14, 2008
NYSE Blog Comments on Short Selling, Uptick Rule October 10, 2008
NASDAQ’s Greifeld Comments on Short Sale Ban Lift October 09, 2008
Creditex Rolls out Electronic Auction To Reduce Risk in Credit Default Swaps October 02, 2008