Rajaratnam, six others charged
The heads of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission said Wednesday they will soon release a report recommending how to harmonize their respective regulatory regimes.The chairs of both the SEC and CFTC said that they anticipate that, within two weeks, the two agencies will issue a report that […]
Seven Canadian firms on temporary suspension list
Proposals intended to improve the reliability and integrity of the ratings process
Flash orders may create a two-tiered market, regulator says
FSA, SEC identify a common set of data to collect from hedge fund managers
Work of subcommittees to inform regulatory agenda
Advisors should operate under a single, rigorous fiduciary standard, group says
Open letter sent to U.S. broker-dealer CEOs
Meetings will build on the progress made on designing a framework to regulate OTC derivatives