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  1. SEC gives green light to Eaton Vance’s active ETMFs

    The US Securities and Exchange Commission (SEC) is to grant investment manager Eaton Vance a set of exemptions allowing it to launch a series of exchange-traded managed funds (ETMF). US SEC exempts exchange-traded managed funds from disclosure...

  2. Fines to rise as regulators continue to punish misconduct

    Big fines against banks and other financial institutions are increasing, as demonstrated by the US Securities and Exchange Commission (SEC) announcement that it posted a record 755 enforcement actions this fiscal year.

  3. The Social CEO: 6 Reasons Why the CEO Must Lead the Way

    Not just to win the hearts and minds of customers, but also those of employees, media and investors, now that the Securities and Exchange Commission (SEC) allows publicly traded U.S.companies to distribute financial information via social media...

  4. Eric Schmidt to Sell Google Stock Worth $2.5 Billion

    Securities and Exchange Commission (SEC), Google said that Schmidt would be selling 3.2 million shares of Google stock – more than 40 percent of the 7.6 million shares of Class A and Class B stock controlled by Schmidt.

  5. Google Reveals Argentina, South Korea Investigations

    Securities and Exchange Commission (SEC) that it is the subject of probes in both Argentina and South Korea. Both Argentina’s Comision Nacional de Defensa de la Competencia and the Korea Fair Trade Commission in South Korea have also opened an...

  6. Dodd-Frank: Abolition of OTS will boost OCC

    The merger will put the OCC’s budget and headcount on a par with that of the Securities and Exchange Commission (SEC), an agency that dwarfs all other financial supervisors with the exception of the Federal Reserve.

  7. Basel Committee's new liquidity ratios causing a stir

    Unfortunately, this is happening at the same time the US Securities and Exchange Commission (SEC) has introduced new rules forcing US money-market funds – traditionally big buyers of bank paper – to reduce the average weighted maturity of their...

  8. US regulatory reform reaches tipping point

    Section 716 will be subject to a two-year transition period, after which affected institutions will be required to either cease swap trading activities or divest their swap desks into separate affiliates compliant with Commodity Futures Trading...

  9. More ETFs face SEC trade curbs

    The Securities and Exchange Commission (SEC) has proposed to expand the recently released circuit breaker programme to encompass 344 ETFs and all stocks in the Russell 1000 index. The SEC says the temporary trade curb is intended to give markets an...

  10. US regulatory changes weigh on consumer ABS

    In April, the Securities and Exchange Commission (SEC) proposed more stringent rules that would force issuers of ABS to make greater risk disclosures. Another measure proposed by the SEC is that data shared between issuers and rating agencies be...

  11. SEC says Goldman CDO fraud lawsuit ‘tough’

    LONDON – The US Securities and Exchange Commission’s (SEC) collateralised debt obligation (CDO) fraud lawsuit against Goldman Sachs had been “from our perspective a pretty straightforward case”, according to Scott Friestad, deputy director of the...