SEO News

Us Securities Exchange Commission

  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. Moody's sees $14.5bn FX fines for top banks

    Meanwhile, JP Morgan has notified the Securities and Exchange Commission it is under criminal investigation by the US Department of Justice, the Commodity Futures Trading Commission and the UK Financial Conduct Authority, with the regulators...

  3. UK markets review focuses on FICC structure and conduct

    For instance, the revision to the Markets in Financial Instruments Directive, known as Mifid II, covers shares, fixed-income securities and derivatives, commodity derivatives traded on authorised venues, and most currency derivatives.

  4. CME rule hurts FX broker business, say participants

    The Securities Industry and Financial Markets Association was one of the associations that protested to the CFTC in April, when the proposed changes to rule 538 had already been announced, stating: "The rule's principal objectives appear to be to...

  5. 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.

  6. Shanghai RMB crude contract faces margin and legal hurdles

    China first proposed launching its own crude oil futures contract as early as 2012 but it was delayed and in May this year an official from the China Securities Regulatory Commission (CSRC) said the contract would instead be launching in the...

  7. Marissa Mayer Brings Hope to Yahoo

    Mayer’s annual salary will be $1 million base pay, according to a filing with the Securities and Exchange Commission. There is an enormous amount of opportunity in front of us. However, with the exception of a few things that might heavily...

  8. Cesr studies MTFs in July amid Mifid revamp

    Cesr was in constant dialogue with the US Securities and Exchange Commission and the Commodity Futures Trading Commission about various matters of common concern.He urged the funds industry to participate in consultations, promising that Cesr and...

  9. 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.

  10. 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...

  11. Regulation to reshape bank funding

    In January, the US Securities and Exchange Commission announced it would require money-market funds to restrict the maximum weighted average maturity of their portfolios to 60 days, down from the former limit of 90 days.

  12. 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...