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REGULATORY/LEGAL

SEC weighs requiring brokers to identify where trades made: report
By Reuters
04/21/2014 12:46:42 PM ET

WASHINGTON (Reuters)—The U.S. Securities and Exchange Commission is weighing a proposal that would require brokers to tell investors exactly where their stock trades are executed, Bloomberg reported on Saturday [April 19].
SEC eyes test that may lead to shift away from 'dark pools'
By Reuters
04/11/2014 1:05:56 PM ET

WASHINGTON/NEW YORK (Reuters)—U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as "dark pools" that critics say may be hurting investors by reducing the quality of pricing.
FINRA probes banks' bond transactions: report
By Reuters
04/11/2014 12:05:15 PM ET

WASHINGTON (Reuters)—Wall Street watchdog FINRA is taking a broad look at the trading profits of banks and other middlemen in some bond transactions to examine whether some money managers are favored at the expense of other investors, The Wall Street Journal reported. FINRA is crunching through reams of trading data, looking for instances in which the middlemen have earned unusually large profits on bond deals, the Journal said, citing officials.
U.S. Senate panel approves Massad to head CFTC
By Reuters
04/09/2014 2:41:26 PM ET

WASHINGTON (Reuters)—A U.S. Senate panel on Tuesday [April 8] approved Timothy Massad as the next chairman of the Commodity Futures Trading Commission, but a second nominee to the derivatives watchdog hit a snag.
U.S. House panel launches CFTC reauthorization bill
By Reuters
04/08/2014 11:59:48 AM ET

WASHINGTON (Reuters)—U.S. lawmakers on Monday [April 7] launched a bill to rewrite the rules of the Commodity Futures Trading Commission (CFTC), giving more leeway to smaller players in the derivative markets it oversees.
U.S. Fed gives banks more time on Volcker rule detail
By Reuters
04/08/2014 11:55:22 AM ET

WASHINGTON (Reuters)—The U.S. Federal Reserve will give banks two more years to divest collateralized loan obligations (CLOs) that fall under the Volcker rule, a part of the Dodd-Frank financial law that bans banks from making a range of risky investments.
U.S. SEC forms squad to examine private funds
By Reuters
04/07/2014 12:00:07 PM ET

NEW YORK/WASHINGTON (Reuters)—The U.S. Securities and Exchange Commission (SEC) has put together a dedicated group to examine private equity and hedge funds, after the 2010 Dodd-Frank law required the funds to be regulated, according to people familiar with the matter.
U.S. probing high-speed trading, attorney general says
By Reuters
04/04/2014 2:17:26 PM ET

WASHINGTON (Reuters)—The U.S. Justice Department is investigating high-speed trading for possible insider trading, Attorney General Eric Holder told lawmakers on Friday [April 4].
CFTC probing speed traders
By Reuters
04/03/2014 3:07:34 PM ET

WASHINGTON (Reuters)—The U.S. Commodity Futures Trading Commission is investigating high-frequency traders to see if they were breaching the derivatives regulator's rules, its chief said on Thursday [April 3].
At SEC, discontent grows over closed U.S. risk council meetings
By Reuters
04/02/2014 5:25:06 PM ET

WASHINGTON (Reuters)—Criticism is rising within the U.S. Securities and Exchange Commission over the structure of a new regulatory body that assesses risk in the financial markets, with some commissioners saying they are being wrongfully excluded from the group's critical decision-making process.
U.S SEC probing HFT, needs bigger budget to police trading, chair says
By Reuters
04/01/2014 4:57:04 PM ET

WASHINGTON (Reuters)—The U.S. Securities and Exchange Commission has active investigations into high-frequency trading, the head of the agency said on Tuesday [April 1].
U.S. Treasury unit to support CFTC on swaps data
By Reuters
03/31/2014 2:15:47 PM ET

WASHINGTON (Reuters)—A U.S. Treasury Department unit said Monday [March 31] it had signed a formal agreement with the Commodity Futures Trading Commission to help it sort out a raft of derivatives data and get a better handle on the global $690 trillion market.
Canada regulator seeks wiretap powers for insider-trading cases
By Reuters
03/27/2014 5:03:48 PM ET

TORONTO (Reuters)—Canada's largest capital markets regulator is pushing for an amendment to the country's Criminal Code that would allow investigators to use wiretaps to investigate insider trading. Such a step would give Canadian investigators a tool that their U.
Market operators hinder CFTC as it seeks to monitor swaps
By Reuters
03/26/2014 8:28:38 AM ET

WASHINGTON (Reuters)—Market operators' failure to cooperate to provide the Commodity Futures Trading Commission with adequate data is preventing the regulator from effectively monitoring the global swaps market, according to sources familiar with the matter. They said it means the CFTC, which is the derivatives market regulator, has yet to meet a major goal it was set after the credit crisis: to get on top of what is happening in the opaque $690 trillion market so that it can be confident of preventing another blowup.
SEC probes banks and companies in loan securities dealings: report
By Reuters
03/25/2014 11:09:03 AM ET

WASHINGTON (Reuters)—The U.S. Securities and Exchange Commission has launched an investigation into the increasing number of complex bond deals on Wall Street that may create new opportunities for fraud, The Wall Street Journal reported on Monday [March 24].
'Inevitable glitches' ahead for U.S. anti-tax evasion law: IRS
By Reuters
03/24/2014 6:20:30 PM ET

WASHINGTON (Reuters)—A new U.S. anti-tax evasion law, set to take effect on July 1, will encounter "inevitable glitches," said the head of the U.
OCC estimates Volcker rule's cost for banks
By Reuters
03/21/2014 12:42:55 PM ET

WASHINGTON (Reuters)—A U.S. bank regulator on Thursday [March 20] said the Volcker rule could cost the industry a one-time annual charge of up to $4.3 billion, the first cost estimate by a regulator for the ban on banks betting on markets with their own money.
CFTC seeks help from markets to clean up data
By Reuters
03/20/2014 12:26:13 PM ET

WASHINGTON (Reuters)—The U.S. derivatives regulator on Wednesday [March 19] asked market participants to answer a long list of questions it hopes will help it cope with a deluge of data on the $630 trillion market it newly regulates.
Clearing firms fear Wall Street regulator's data proposal
By Reuters
03/18/2014 1:44:03 PM ET

NEW YORK (Reuters)—A proposal by Wall Street's industry-funded watchdog to ramp up oversight of securities brokerages could expose clearing firms to more enforcement actions and lawsuits, lawyers say. The Financial Industry Regulatory Authority has said it wants to review, on a continuous basis, vast quantities of data from the clearing firms that brokerages hire to settle customers' buy and sell orders.
U.S. senators urge CFTC action on position limits
By Reuters
03/14/2014 4:05:28 PM ET

WASHINGTON (Reuters)—A group of U.S. senators has urged the Commodity Futures Trading Commission to quickly complete new rules on position limits in commodity markets to tamp down on speculation in products such as gasoline and home heating oil.






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