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Showing 161 - 170 of 236 results for "Securities and Exchange Commission"

ETN fears grow following price plunges

ALEX DUNNIN  |  TUESDAY, 10 APR 2012
... has plunged due to its promoter stopping the issuing of supporting stock and they fear the Securities and Exchange Commission's inertia is because they do not understand the products themselves. "Wall Street has done such an outstanding job of manufacturing ...

Fears Volcker Rule will hit sovereign bond trading

ALEX DUNNIN  |  THURSDAY, 9 FEB 2012
... of Treasury's Office of the Comptroller of the Currency, the Federal Reserve Board and the Securities and Exchange Commission. The legislation is now up for public consultation with the consultation window being extended until next week. Contributing ...

US unlikely to follow EU short selling ban

ALEX DUNNIN  |  TUESDAY, 25 OCT 2011
... reduced ways to protect against default risk. The ban is unlikely to be supported in the US. US Securities and Exchange Commission chairman Mary Schapiro told a conference last week, "Never say never, but it is hard for me to imagine the SEC ever doing ...

Volcker Rule could slash Wall Street incomes 25%

ALEX DUNNIN  |  THURSDAY, 13 OCT 2011
... Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency and the Securities and Exchange Commission, the most vulnerable firms will be fixed income trading houses because they draw higher proportions of their revenue from ...

US manager charged with fraud

RUTH LIEW  |  WEDNESDAY, 19 JAN 2011
... purportedly liquid, cash management strategy that engaged in market transactions, according to the Securities and Exchange Commission. However, in numerous communications with clients and prospective clients, they deliberately overstated the value and ...

New rules for investment advisers: SEC

MEDIA RELEASE  |  MONDAY, 22 NOV 2010
The Securities and Exchange Commission is proposing new rules to strengthen the regulator's oversight of investment advisers. The SEC's proposed rules will implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This includes ...

Investors lose $7m in Qld scam

ASIC RELEASE  |  THURSDAY, 18 NOV 2010
... to pay a number of investors their capital, claiming their money had been frozen by the US Securities and Exchange Commission. In December 2009, Hatchett was sentenced to nine years' imprisonment for his involvement following an FBI investigation. The ...

Demystifying the "flash crash"

JOHN MCDULING  |  WEDNESDAY, 20 OCT 2010
... the abnormal market behaviour, the US Commodity Trading and Futures Commission (CFTC) and the Securities and Exchange Commission (SEC) concluded that a large algorithmic sell order in futures markets, executed by a mutual funds manager to hedge ETF exposure ...

Hedge fund adviser gets $2.7m fine

RUTH LIEW  |  FRIDAY, 24 SEP 2010
... have to cough up $2.7 million to settle SEC charges for breaching short selling rules. The Securities and Exchange Commission yesterday charged Dallas-based Carlson Capital for breaching a regulation which prevents short selling that can "reduce proceeds ...

Fuld me twice

JOHN MCDULING  |  THURSDAY, 2 SEP 2010
... Bank of New York. "Instead, the Federal Reserve, the United States Treasury Department, the Securities and Exchange Commission, and others tried hard to save it - not for its own sake, of course, but for the sake of all the families and businesses who ...