US Securities and Exchange Commission

FSA, SEC plan to cooperate on regulatory revamp
SIFMA Global SmartBrief | 67 days 15 hours 56 minutes ago
...Authority CEO Hector Sants met with US Securities and Exchange Commission Chairwoman Mary Schapiro to discuss...regulatory overhaul for hedge funds and their advisers. The regulators...advisers/managers to help the SEC and FSA identify risks to their regulatory...

Join us for a conversation with US Treasury Secretary Timothy Geithner at SIFMA's Annual Meeting -- TUESDAY at New York Marriott Marquis hotel in New York City
SIFMA Global SmartBrief | 28 days 15 hours 56 minutes ago
...Ketchum, chairman and CEO of the US Financial Industry Regulatory Authority; and Mary Schapiro, chairman of the US Securities and Exchange Commission. <a href="http://events...

Join us for a conversation with US Treasury Secretary Timothy Geithner at SIFMA's Annual Meeting -- 27 October at New York Marriott Marquis hotel in New York City
SIFMA Global SmartBrief | 31 days 15 hours 56 minutes ago
...Ketchum, chairman and CEO of the US Financial Industry Regulatory Authority; and Mary Schapiro, chairman of the US Securities and Exchange Commission. <a href="http://events...

Goldman Sachs made $100 million on record 46 days in Q2
SIFMA Global SmartBrief | 109 days 15 hours 56 minutes ago
In a filing with the US Securities and Exchange Commission, Goldman Sachs said its traders brought in revenues that exceeded $100 million on each of 46 days in the second quarter, contributing...

City firms scrutinise FSA's approach to regulation
SIFMA Global SmartBrief | 126 days 15 hours 56 minutes ago
...Authority has become more like the US Securities and Exchange Commission in that it has become increasingly...saying, 'Thank you for telling us about it'. We are moving from...where the FSA looks into things and makes its own mind up," said...

MUFG, Morgan Stanley delay merger of Japanese brokerage units
SIFMA Global SmartBrief | 5 days 14 hours 56 minutes ago
...of the Japanese brokerage divisions of MUFG and Morgan Stanley will be postponed a few months...concerns. Japan's Financial Services Agency and the Securities and Exchange Commission in the US will have final say on the revised plan.

SEC clamps down on credit rating agencies
ELFA SmartBrief | 66 days 15 hours 56 minutes ago
...increased oversight by the Securities and Exchange Commission. "It is incumbent upon us to do all that we can to improve the reliability and integrity of the ratings process and give investors the appropriate...

SEC may scrap surprise-audit plan
FSI Newsbrief | 14 hours 56 minutes ago
The Securities and Exchange Commission's Division of Investment Management recommended that the agency...next month. "There was a fair amount of comments that were given us with respect to that point," said Andrew Donohue, director of...

Former AIG chief Greenberg to settle SEC case for $15M
ELFA SmartBrief | 108 days 15 hours 56 minutes ago
...15 million to settle a complaint from the Securities and Exchange Commission that accuses him of securities violations. "I just thought it would be good to get it behind us," Greenberg said. He neither denied nor...

Schapiro expects SEC to adopt muni-disclosure changes soon
SIFMA SmartBrief | 10 days 14 hours 56 minutes ago
...Schapiro, chairman of the Securities and Exchange Commission, said she expects the agency...to its rule on municipal-securities disclosure. "We're coming...dealers," she said. "And it will be time for us next year to take a serious...

Schapiro calls for greater access to derivatives transactions
Taylor Rafferty Capital Markets SmartBrief | 81 days 15 hours 56 minutes ago
Securities and Exchange Commission Chairwoman Mary Schapiro has called for...are in need of "information that allow us to construct an audit trail, so that we can find insider trading, manipulation, and other concerns that can reverberate through...

Schapiro says derivatives data needed to police market:
Fidelity Public Policy SmartBrief | 87 days 15 hours 56 minutes ago
...Mary Schapiro, chairwoman of the Securities and Exchange Commission, said that in order for regulators...have "information that allows us to construct an audit trail...insider trading, manipulation and other concerns that can reverberate...

Schapiro says derivatives data needed to police market
SIFMA SmartBrief | 87 days 15 hours 56 minutes ago
...Mary Schapiro, chairwoman of the Securities and Exchange Commission, said in order for regulators...have "information that allows us to construct an audit trail...insider trading, manipulation and other concerns that can reverberate...

SEC might emerge from BofA case wielding greater power
Fidelity Public Policy SmartBrief | 88 days 15 hours 56 minutes ago
...Judge Jed Rakoff twice rejected the Securities and Exchange Commission's $33 million settlement with...for a judge to question the amount and the context of a settlement," said...settle because the courts won't let us.'&nbsp;"

Tweedie: Where is U.S. on shift to IFRS?
CPA Letter Daily | 110 days 15 hours 56 minutes ago
The Securities and Exchange Commission needs to step up efforts to offer guidance to companies switching...needs to commit by 2011. "This is a very interesting moment for us, a once-in-a-lifetime moment. Where is the USA?" he said...