Regulatory News
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CFTC watchdog faults Gensler for recusal from MF Global probe
WASHINGTON - The chairman of the derivatives regulator made a questionable call when he chose to distance himself from probing the demise of futures broker MF Global, the agency's internal watchdog said in a report released on Tuesday.
Ex-strategist can sue UBS as whistleblower: U.S. judge
NEW YORK - UBS AG lost a bid Tuesday to dismiss a whistle-blower lawsuit by a former commercial mortgage-backed securities strategist who said he was fired for refusing to publish misleading research reports.
SEC review of brokerages use of arbitration not seen in 2013
WASHINGTON - Wall Street brokerages' use of mandatory arbitration clauses merits a regulatory review, but the Securities and Exchange Commission will not have time to undertake one before 2014, an SEC commissioner said on Monday.
FINRA fines LPL Financial $9 million for email violations
- LPL Financial LLC must pay a total of $9 million for significant email system failures and making misstatements to the Financial Industry Regulatory Authority, Wall Street's watchdog.
NY regulator questions investment firms' ties to insurers: WSJ
- New York's top financial regulator has sent subpoenas to several firms seeking information on investments that guarantee steady payments to hundreds of thousands of retirees and other consumers, the Wall Street Journal said on Monday, citing people familiar with the inquiry.
Wielding Harrisburg example, SEC cajoles cities nationwide
WASHINGTON - At first glance, a federal regulator's rebuke of the city of Harrisburg this month over fraudulent statements and long overdue disclosures to its bondholders could be seen as a warning to state and local politicians who offer too rosy a view of their financial health.
Justices endorse FCC authority in cellphone tower case
WASHINGTON - The Supreme Court on Monday ruled that the U.S. Federal Communications Commission has authority to try to speed up the process for installing wireless communications towers when local governments have been slow to act.
White says SEC not now writing political spending rule
WASHINGTON - The head of the Securities and Exchange Commission told lawmakers on Thursday that her agency, despite pressure from liberal groups, is not currently drafting a rule that would call for public companies to disclose their political spending.
Analysis: High speed trading a stiff challenge for U.S. regulators
CHICAGO - Financial trading in world markets has grown so lightning-fast that effective regulation is growing tougher by the second, increasing the threat of crashes sparked by hoaxes, electronic glitches or yet-unknown causes.
SAC Capital won't fully cooperate with government: letter
NEW YORK - Steven A. Cohen's hedge fund SAC Capital Advisors told investors on Friday it would no longer cooperate "unconditionally" with the U.S. government's insider trading investigation.
- Financial: iGate sacks Murthy over undisclosed relationship
- Technology: Microsoft unveils Xbox One with Spielberg, Activision tie-up
- Healthcare: China offers India a "handshake across the Himalayas"
- Consumer: Bangladesh panel to recommend life in prison over building collapse
- Energy: FACTBOX - Yahoo's acquisitions: from Geocities to Tumblr
- Industrials: Gandhi blood sample up for auction in London
- M&A: PRESS DIGEST - British Business - May 22
- Bankruptcy: UPDATE 1-Sweden detains ex-Saab executives in tax investigation
- IPOs: BRP prices IPO at C$21.50, top of marketed range
- Private Capital: Scandal or not, one SAC investor can't get enough of Steve Cohen
- Hedge Funds: Toscafund bullish on UK economy and stock market
- With wary eye on the U.S., China courts India
- Asian stocks cheered by Fed reassurance, yen awaits BOJ
- U.S. Senate panel OKs changes sought by tech firms in immigration bill
- U.S. court studies wiretaps in Rajat Gupta insider case
- Rupee falls to near six-month low on stock losses, importer demand
- Sensex hits one-week low; doubts creep in after rally
- Fed officials dampen talk of imminent bond buying cutback
- iGate sacks Murthy over undisclosed relationship
- Essar signs $1 billion financing deal with China
- U.S. Senate panel approves sweeping immigration bill
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