About Us  |   Contact Us  |   Register  | Login  |   

Follow HedgeWorld on Twitter HedgeWorld on LinkedIn






HEDGEWORLD NEWS
Search the News
News Archive
HedgeWorld News by Region
United States / Americas
Europe
Asia / Australia
International
HedgeWorld News Sections
Managed Futures & Derivatives
Daily News
Regulatory/Legal
Strategies/Analysis
Technology
Opinion
People
Indexes
Other News Features
Most Popular
Reuters Headlines
Alternative Advantage Daily Newsletter
RSS Service
Sign Up For Email News Alerts
Reprints

United States/Americas


REGULATORY/LEGAL

FINRA unveils proposals for dark pools, bond markets
By Reuters
09/19/2014 5:34:36 PM ET

WASHINGTON (Reuters)—Wall Street's self-funded regulator unveiled a list of proposals on Friday [Sept. 19] to bolster rules governing alternative trading platforms like "dark pools," computerized high-speed trading, and price transparency in the corporate bond market.
U.S. CFTC to propose rules for uncleared swaps
By Reuters
09/17/2014 5:44:33 PM ET

WASHINGTON (Reuters)—The U.S. derivatives regulator on Wednesday [Sept. 17] met to propose a new rule for safety margins for uncleared swaps, a last remaining building block in its efforts to make the $710 trillion global market safer.
FINRA considers new rules for dark pools
By Reuters
09/10/2014 4:58:45 PM ET

NEW YORK (Reuters)—Wall Street's self-funded regulator said on Wednesday [Sept. 10] it would consider putting new rules in place to improve transparency at broker-run alternative trading systems, known as "dark pools," as well as among firms that use algorithmic trading strategies.
U.S. regulator would welcome delay of EU clearing rules
By Reuters
09/10/2014 3:43:28 PM ET

WASHINGTON (Reuters)—A top U.S. regulator said on Wednesday [Sept. 10] he would welcome a delay by the European Union that gave more time to resolve a conflict with Washington over making derivatives markets safer.
U.S. CFTC to allow commodity hedge funds to advertise to public
By Reuters
09/10/2014 12:36:08 PM ET

WASHINGTON (Reuters)—U.S. derivatives regulators are removing a legal hurdle, which will open the door for hedge funds and other private funds to reach new investors through television, the Internet and other media channels.
U.S. CFTC refers alleged rate-rigging to Justice Dept.: report
By Reuters
09/09/2014 12:20:14 PM ET

WASHINGTON (Reuters)—The top U.S. derivatives regulator has referred evidence of potential criminal manipulation of a key benchmark known as "ISDAfix" to the Justice Department for possible prosecution, Bloomberg reported on Monday [Sept.
U.S. SEC preparing new rules to boost oversight of funds: report
By Reuters
09/08/2014 11:45:15 AM ET

WASHINGTON (Reuters)—The U.S. Securities and Exchange Commission (SEC) is preparing new rules to boost oversight of mutual funds and hedge funds as part of an effort to gain insight into whether the asset management industry poses risks to the financial system, The Wall Street Journal reported, citing people familiar with the discussions.
U.S., Europe head toward delay in squabble over swaps rules
By Reuters
09/04/2014 2:17:15 PM ET

WASHINGTON (Reuters)—The European Union is discussing delaying a deadline for a second time in its efforts to reform the global derivatives market, a source familiar with the matter said, as talks with U.S.
U.S. SEC adopts securitization, rating agency reforms
By Reuters
08/27/2014 1:35:57 PM ET

Editor's note: This version of the story has been updated throughout. WASHINGTON (Reuters)—The U.S. Securities and Exchange Commission on Wednesday [Aug.
FINRA charges Wedbush with market access violations
By Reuters
08/18/2014 1:41:22 PM ET

WASHINGTON (Reuters)—Wall Street's self-funded regulator on Monday [Aug. 18] charged brokerage firm Wedbush Securities with having shoddy risk controls, a flaw that in turn allowed thousands of traders to flood U.
SEC reviewing Valeant, Ackman's hostile Allergan bid
By Reuters
08/14/2014 5:08:56 PM ET

WASHINGTON (Reuters)—U.S. securities regulators are looking at the hostile takeover bid made by billionaire investor William Ackman and Valeant Pharmaceuticals for Botox maker Allergan Inc.
SEC to examine alternative mutual funds: report
By Reuters
08/12/2014 7:00:19 PM ET

WASHINGTON (Reuters)—The Securities and Exchange Commission has launched a broad examination of alternative mutual funds, The Wall Street Journal reported, citing people familiar with the matter. The so-called funds "sweep" includes examinations of large investment firms such as BlackRock Inc.
U.S. SEC fines J.S. Oliver Capital $15 million, bans two advisers
By Reuters
08/08/2014 12:59:39 PM ET

SAN DIEGO (Reuters)—A Securities and Exchange Commission judge has ordered a San Diego-based investment firm to pay a $15 million penalty and barred its two advisers from the securities industry for a scheme that defrauded clients out of $10.9 million.
Citadel fined $800,000 by U.S. regulators for trading violations
By Reuters
08/06/2014 11:33:10 AM ET

NEW YORK (Reuters)—A unit of hedge fund Citadel LLC was fined $800,000 by U.S. regulators in June for failing to prevent erroneous orders from being sent to several stock exchanges over a nearly three-year period.
BATS close to settling high-speed trading case in U.S.: report
By Reuters
08/06/2014 11:58:58 AM ET

LENEXA, Kan. (Reuters)—BATS Global Markets Inc., the second-largest U.S. exchange operator by volume, is in advanced talks with regulators to settle allegations that it gave unfair advantages to high-speed traders, The Wall Street Journal reported, citing people familiar with the matter.
New U.S. CFTC head says he will be tough cop, tweak rules
By Reuters
07/31/2014 3:29:16 PM ET

WASHINGTON (Reuters)—The new head of the U.S. derivatives regulator on Thursday [July 31] pledged he would be a tough cop now that the agency has largely finished a raft of new rules to oversee the $710 trillion global swaps market.
UK fraud squad considers criminal probe into rate rigging at Lloyds
By Reuters
07/30/2014 12:47:47 PM ET

LONDON (Reuters)—Britain's Serious Fraud Office (SFO) is examining material that might trigger a criminal investigation into former and current staff at Lloyds Banking Group, the partly state-owned bank, sources said on Wednesday [July 30]. The sources said the SFO was looking at information it had been handed by the UK Financial Conduct Authority (FCA) some months ago linked to an inquiry into alleged manipulation of benchmark rates, including one used to set the fees on a taxpayer-backed funding scheme for banks.
U.S. derivatives regulator faces test in big courtroom showdowns
By Reuters
07/28/2014 1:02:28 PM ET

WASHINGTON (Reuters)—The U.S. federal agency regulating derivatives has fought just three trials since 2011, all against small-time fraudsters in Florida.
U.S. SEC to review accredited investor rule
By Reuters
07/25/2014 3:56:39 PM ET

WASHINGTON (Reuters)—A U.S. Securities and Exchange Commission review of its "accredited investor" rule could ultimately make it tougher for brokers to sell privately traded securities, a high-risk, high-reward, high-commission staple at some small and independent firms.
U.S. SEC targets 10 firms in high frequency trading probe: SEC document
By Reuters
07/17/2014 6:38:27 PM ET

NEW YORK (Reuters)—The U.S. Securities and Exchange Commission has been seeking information on 10 registered broker dealers as part of an ongoing investigation into high-frequency trading strategies, according to an internal SEC document reviewed by Reuters.






Lipper    Privacy   User Policy  Legal Disclosure Copyright/DMCA  Site Map    FAQ    Glossary  Thomson Reuters for Hedge Funds
All rights reserved. Users may download and print extracts of content from this website for their own personal and non-commercial use only. Republication or redistribution of HedgeWorld content, including by framing or similar means, is expressly prohibited without the prior written consent of Thomson Reuters. HedgeWorld is a registered trademark of Thomson Reuters.