SEC News Feed
James McNamara Named Managing Executive of SEC’s Division of Trading and Markets
Erica Williams Named SEC's Deputy Chief of Staff
James Burns Named Deputy Director in SEC's Division of Trading and Markets
SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies
SEC Charges New Jersey Man in Real Estate Investment Scam
Securities Docket News Wire
SecuritiesD: Securities Docket News Wire for 2012-05-20 http://t.co/uA6mu7MU
SecuritiesD: Securities Docket News Wire for 2012-05-19 http://t.co/MiZwhdsJ
SecuritiesD: Rajat Gupta cannot take a Mother Teresa defence — The Economic Times http://t.co/fHwSYfZh
SecuritiesD: The ‘Robin Hood’ and ‘Mother Teresa’ Defenses in Insider Trading Cases – Compliance Week http://t.co/F0lBLEO6
SecuritiesD: Securities Docket News Wire for 2012-05-18 http://t.co/6ok9HcfS
CFTC Press Releases
CFTC Approves Notice of Proposed Rulemaking Regarding Regulations on Aggregation for Position Limits for Futures and Swaps
CFTC Approves Final Rule on Swap Data Recordkeeping and Reporting Requirements for Pre-Dodd-Frank and Transition Swaps
CFTC Proposes Order Amending the Effective Date for Swap Regulation Order Issued on July 14, 2011
Joint Statement on Regulation of OTC Derivatives Markets
CFTC to Hold Open Meeting to Consider a Final Rule on Core Principles and Other Requirements for Designated Contract Markets and a Proposed Order Amending the Effective Date for Swap Regulation
Bankers Online Top Regulatory Stories
Two added to SDN list
Written Agreement executed
TIC data released
Check your firewall settings
Term deposits auction results
DerivAlert Derivatives Regulation News
US CFTC OKs Reporting Rules For Historical Swaps
Rolet Forges Ahead With LSE Revolution
Nonbanks Are Clearing Swaps Under Dodd-Frank; Many Hesitant
Senate Votes Put Fed Board at Full Strength
Fitch Says Top 29 Banks May Need $556 Billion
FINAlternatives Regulation News
Goldman Starts Redeeming Hedge Fund Stakes
Hedge Funds Could Get Qualified Status In China
SEC Plans Extensive Exams Of Private Equity Firms
Swiss Plan EU-Style Hedge Fund Rules
AIMA Says EC Ignored Securities Watchdog Advice
CCH Financial Reform News Center
Operational Risk “High and Increasing,” says OCC’s Curry
Cordray Discusses CFPB Efforts on Student Loans in Commencement Speech
DeMarco and Duke Discuss Housing Market Challenges
Chairman Johnson Announces Additional Wall Street Reform Implementation Hearings
Agencies Adopt Stress Test Guidance for Large Banks, Community Banks
MyCorporateResource Financial Services
Goodwin Procter: Financial Services Alert
Fried Frank: The Jumpstart Our Business Startups Act and Its Impact on Equity Research Analysts
Dechert: The Euro Crisis – Contingency Planning for Asset Managers
McCarter & English: Sussing Out Regulations A And D Of The JOBS Act
Clifford Chance: Can new forms of finance provide support for the real economy?
WebCPA Regulation Channel
COSO Postpones Release of Internal Control Framework
Editor's Desk: Imperfectly Reasonable
Former Accounting Board Chairs Urge SEC to Commit to IFRS
GASB Issues Rules for Deferred Outflows and Inflows
FASB Readies Framework for Financial Statement Disclosures
CFO.com Regulatory Issues
Will These Investments Catch On?
FASB Stands Pat on Reviled Tax Rule
Reining In Buyout Loans
JOBS Act OKs Crowdfunding
IRS Holds Up Transfer-Pricing Deals
Investment News Regulation
Inland 'cooperating fully' with SEC investigators, chairman says
Ex-NAPFA head hit with fraud rap
SEC identifies 379 firms as shells, halts trading
SEC Will Review Facebook Trade Reporting Problems at Nasdaq
In search of Congressional 'payfors,' S corp tax comes back
Reuters: Financial Regulatory Forum
Investor group seeks JPMorgan governance changes
Client funds, net capital among hot topics for SEC 2012 exam program
HSBC victory in Shah claim a relief to bank money-laundering monitors
Compliance officers face multiple options for credentials
JPMorgan AGM punctured by thorny hedge issues
The Hill: Banking/Financial Institutions
Week ahead: Senate sets economic agenda
Dem congressman doubts JPMorgan execs will be called to testify at House panel
News bites: Personal touch
JPMorgan’s Dimon to testify before Senate panel on trading losses
GOP lawmakers press for market access after China takeover of US bank branches
NYT Dealbook – Legal/Regulatory
Discord at Key JPMorgan Unit Is Faulted in Loss | According to current and former traders, the senior banker who has bee...
MF Global Trustee Gets $168 Million From JPMorgan
Where Prosecutors Might Focus in Their JPMorgan Inquiries
Dimon to Appear Before Senate Panel
The Boldface Names on the Witness List for Gupta’s Trial
Jim Hamilton – Securities Regulation
US Senator Reminds JP Morgan Chase of Dodd-Frank Clawback Provisions
Securities Industry Comments on Impending SEC JOBS Act Regulations
PCAOB Standing Advisory Group Examines Concept of Going Concern as Investor Angst Increases
Missouri No-Action Letters Extend Section 203(b)(3) De Minimis Exemption for Advisers
Mass. Securities Regulator Asks to Consult with SEC on Crowdfunding Regulations
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