Search Results for: U.S. regulator
SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers
April 17th, 2015
The Securities and Exchange Commission today announced fraud charges against a New York City-based financial advisor accused of stealing at least $20 million from customers to fund his own brokerage accounts and then squandering the bulk of the money ...
Fed Is Expected to Shift on Municipal Bonds
April 17th, 2015
In a change of heart, the Federal Reserve will allow big U.S. banks to use some municipal bonds to meet new rules aimed at ensuring they have enough cash during a financial-market meltdown, according to people familiar with the ...
CFTC and Australian Prudential Regulation Authority Sign Memorandum of Understanding
April 15th, 2015
The U.S. Commodity Futures Trading Commission (CFTC) announced today that CFTC Chairman Tim Massad and Australian Prudential Regulation Authority (APRA) Chairman Wayne Byres have signed a Memorandum of Understanding (MOU) regarding cooperation and the exchange of information in the ...
JSE and Eris Exchange Announce Swap Futures Licensing Partnership
April 15th, 2015
JSE to Launch Interest Rate, Cross-Currency and Credit Default Swap Futures Based on the Eris Methodology™ The Johannesburg Stock Exchange (JSE), Africa’s largest exchange, today announced that it signed a multi-year licensing agreement with Eris Exchange (Eris), a U.S.-based futures ...
Top 12 Media Myths on oil prices
April 13th, 2015
The upstream oil and gas industry is not a black hole. There’s no mystery wrapped in an enigma here. There are a lot of meetings with engineers, chemists and geologists. There’s a constantly evolving learning curve. And then there’s ...
Speed Trader Virtu Readies Another IPO Try
April 7th, 2015
Deal could value the company at $2.59 billion With the controversy over high-speed trading firms cooling, one of them is preparing to brave the stock market. Virtu Financial Inc. on Monday outlined plans to go public later this month ...
EU Lays Groundwork for Antitrust Charges Against Google
April 2nd, 2015
Regulator seeks permission to publish complaints against Internet giant in long-running probe Europe’s competition regulator is preparing to move against Google Inc. in the next few weeks, a person familiar with the matter said Wednesday, setting the stage for charges against the ...
Banks Are Poised to Profit From Forex Tumult
April 2nd, 2015
Swiss central bank’s surprise January move led to volatility that can help Wall Street The big currency swings of the past three months have whipsawed many investors. Wall Street may end up loving the action. As U.S. banks closed ...
Fed: Agencies Provide Feedback on Resolution Plans of Three Foreign Banking Organizations
March 24th, 2015
Firms Required to Address Shortcomings in 2015 Submissions The Federal Reserve Board and the Federal Deposit Insurance Corporation (FDIC) on Monday announced that they had completed the reviews of resolution plans submitted in 2014 by three large, foreign banking ...
CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission (HKSFC)
March 23rd, 2015
CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission Permitting U.S. Customers to Deal Directly with Hong Kong Brokers The U.S. Commodity Futures Trading Commission (CFTC or Commission) today issued an order to Hong Kong Securities ...
