Regulations 

Tabb Study: Unintended Consequences of Regulatory Action Top Buy Side Concern November 19, 2009 | The risk of unintended regulatory consequences is the top market structure concern facing U.S. equity markets, according to buy side traders in Tabb Group's annual study, "Institutional Equity Trading 2009-2010: Dark Pools, Transparency and Consequences."

Interagency Panel to Fight Financial Crime
November 18, 2009 | The U.S. government has another arrow to its financial crime-fighting quiver, an interagency task force created by executive order Tuesday.

Two Madoff Programmers Arrested
November 13, 2009 | The SEC has charged two of Madoff's former computer programmers for their role in covering up the fraud at Bernard L. Madoff Investment Securities for over 15 years.

Picower's Estate to Help Madoff Victims
November 12, 2009 | The death of Jeffrey Picower, an investor with disgraced financier Bernard Madoff, may mean several billion more dollars for Madoff's victims, attorneys say.

Dodd Presents Financial Regulatory Bill
November 12, 2009 | Sen. Christopher Dodd, D-Conn., Tuesday floated a bill that would restructure the U.S. regulatory system overseeing the complex financial services sector.

TowerGroup Regulation Outlook: Risk And Derivatives Top List
November 10, 2009 | Regulation and the many anticipated changes coming in the next year were the focus on a briefing hosted by TowerGroup and Sybase this morning.

What Will 2010 Bring for the Buy-Side Trading Desk?
November 09, 2009 | The events of the past year and a half forever altered the financial markets. With the fall of top firms, the rise of volatility, the glaring publicity around high-frequency trading and a dramatically new regulatory climate, the trading desk of 2010 is in for some major changes.

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.


More
Victims Upset by 'Madoff Auctions' November 02, 2009
Madoff: SEC Could Have Had Him Earlier November 02, 2009
Washington Reacts to Treasury Plan October 30, 2009
Miami Money Manager Arrested in K1 Probe October 30, 2009
Pay Czar Says Seven Firms is Enough October 28, 2009
Senate Subcommittee Questions Industry Insiders on Market Structure Issues October 28, 2009
SEC Drafting Proposals on Sponsored Access, HFT October 27, 2009
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
Shareholders Challenge Goldman's Bonus Plans October 15, 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