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Original Sources

Rebuilding Confidence in U.S. Markets

April 28, 2008 - NYSE Euronext chief executive Duncan Niederauer says that streamlining the regulatory structure could go a long way toward addressing the international “crisis in confidence” in the U.S. capital markets.

Weighing In on Treasury's Blueprint

April 7, 2008 - Treasury’s plan to overhaul the U.S. regulatory structure generated much debate last week as trade group, exchange and regulatory officials voiced their initial opinions.

Building Regulatory Networks

March 31, 2008 - The “regulatory networks” needed to oversee the futures industry require investment in technology and relationships, says Walter Lukken, acting chairman of the Commodity Futures Trading Commission.

Donohue: Let Market Forces Determine Market Structure

February 25, 2008 - CME chief executive Craig Donohue argues that regulators “should not, and likely cannot, mandate the establishment of a single monopoly provider” of central counterparty clearing services.

FSA: Firms Must Retain Investor Confidence

February 11, 2008 - The U.K.’s Financial Services Authority has released its annual Financial Risk Outlook, which FSA head Callum McCarthy calls “a prudent attempt to highlight the risks that could impact consumers and firms in a less benign economy.”

Cox: The Rise of Sovereign Business

December 17, 2007 - The growth of state-owned, publicly traded companies and investment funds operated by governments that may not share the U.S. perspective on free markets will present increasing challenges for the SEC, says chairman Christopher Cox.

A U.S. Principles-based Regulator

December 10, 2007 - The Commodity Futures Trading Commission’s Walter Lukken calls his agency’s principles-based approach a “hybrid of desired public outcomes complimented by specific rules aimed at achieving those ends.”

Schapiro: Building a Better Regulator

November 19, 2007 - "The elasticity of principles-based rules is attractive to both the regulator and the regulated," says Mary Schapiro, CEO of Finra, which is in the process of integrating the rulebooks of its predecessors.

A Time for Regulatory Humility

November 12, 2007 - “We would be failing in our duty if we did not use the turmoil in the credit markets to review our regulatory framework,” says EU commissioner Charlie McCreevy, but “rushing to legislate afresh is not the sensible answer to a crisis.”

Healthier Markets To Emerge From Subprime Crisis

October 29, 2007 - Investors’ concerns about mortgage-backed securities have led them to increase their assessment of risks, says Fed chairman Ben Bernanke. The long-term result? A “healthier financial system.”

National Regulation, Globalized Markets

October 22, 2007 - In an increasingly globalized economy, regulators are finding common ground, says SEC chairman Christopher Cox, but that doesn’t mean that a single regulatory regime makes sense.

Cash, Credit and Confidence

October 15, 2007 - To restore the faith of investors, consumers and businesses in complicated financial products, banks and funds must share information about underlying assets, says Bank of America CEO Kenneth Lewis.

For Investors, Product Complexity Doesn’t Excuse Losses

October 8, 2007 - As credit derivatives become increasingly complex, it is ever more important that investors “perform independent and adequate due diligence prior to making an investment decision,” says Treasury’s Anthony Ryan.

Atkins on Regulatory Shortcomings

September 24, 2007 - The SEC's Paul Atkins says that all too often his agency fails to take an economic view of rulemaking.

Dark Pools, Reg NMS and the Changing Liquidity Landscape

September 17, 2007 - In today's fragmented market structure, traders must arm themselves with a knowledgeable guide to the shifting liquidity landscape, write EdgeTrade's Joseph Wald and Kyle Zasky.

CFTC v. Amaranth: A Case of Market Manipulation?

August 6, 2007 - Charges against Amaranth are a sign of "ongoing vigilance to punish those who attempt to compromise the integrity of the futures markets," says the CFTC's Walter Lukken.

Nazareth on Supervision and Subprime Leverage

July 9, 2007 - While the Bear Stearns Asset Management hedge fund problems are still playing out, the SEC's Nazareth says it isn't too early to draw some conclusions.

Supporting--and Improving--SRO Consolidation

June 11, 2007 - Now that the merger of self-regulatory organizations NASD and NYSE Regulation is near, Sifma president Marc Lackritz continues to raise some issues at the margins.

Geithner on Credit Innovations

May 28, 2007 - The New York Fed's Geithner says that innovation in markets has historically been accompanied by risk challenges--and credit derivatives are no exception.

SEC Documents a Best-Execution Breakdown

May 21, 2007 - In a case citing OTC trading activity at Morgan Stanley between 2001 and 2004, the SEC said the investment bank improperly delayed the execution of certain orders.

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