http://www.complinet.com Complinet US Securities and Banking RSS feed en complinet.com http://www.complinet.com/global/news/news/article.html?ref=110735 FINRA has issued four proposals to consolidate existing NASD and NYSE rules into a single rulebook. Wed, 21 May 2008 23:54:57 +0000 http://www.complinet.com/global/news/news/article.html?ref=110744 Better, smarter regulation can drive away the current gloom, industry experts told attendees at a recent conference hosted by the law firm Cadwalader, Wickersham & Taft on the future of financial regulation. Wed, 21 May 2008 23:30:00 +0000 http://www.complinet.com/global/news/news/article.html?ref=110728 Regulators, governments and supervisory bodies worldwide are considering what should be done next to restore confidence in the global banking and financial systems which have been so severely hit by the recent turmoil. Wed, 21 May 2008 19:51:24 +0000 http://www.complinet.com/global/news/news/article.html?ref=110708 The Financial Industry Regulatory Authority has released Regulatory Notice 08- 24 to solicit comment on a proposal to consolidate rules governing supervision proffered by the former NASD and the regulatory arm of the New York Stock Exchange. Tue, 20 May 2008 23:59:59 +0000 http://www.complinet.com/global/news/news/article.html?ref=110707 Recently, federal and state law enforcement authorities announced that joint task forces in several U. Tue, 20 May 2008 23:59:49 +0000 http://www.complinet.com/global/news/news/article.html?ref=110709 Regulatory lawyers discussed how to prevent and detect insider trading at the Securities Industry and Financial Markets Association's first ever conference devoted to the topic. Tue, 20 May 2008 23:30:00 +0000 http://www.complinet.com/global/news/news/article.html?ref=110701 By an overriding majority, the Agriculture Committees of the US Senate and the House of Representatives passed a bill that contains provisions to reauthorize the Commodity Futures Trading Commission until 2013 . Tue, 20 May 2008 23:28:52 +0000 http://www.complinet.com/global/news/news/article.html?ref=110659 Manhattan federal judge Paul Crotty has frozen $2. Mon, 19 May 2008 23:55:00 +0000 http://www.complinet.com/global/news/news/article.html?ref=110664 The Asset Managers' Committee and the Investors' Committee, both established by the President's Working Group on Financial Markets , released for public review and comment separate yet complementary sets of best practices for hedge fund managers and investors in hedge funds. Mon, 19 May 2008 23:46:10 +0000 http://www.complinet.com/global/news/news/article.html?ref=110599 The Securities and Exchange Commission has sued a wrap fee program sponsor for failing to disclose that it made exceptions to its stated due diligence process in order to offer two proprietary funds on its wrap platform. Fri, 16 May 2008 23:58:40 +0000 http://www.complinet.com/global/news/news/article.html?ref=110639 The Securities and Exchange Commission has obtained a court order requiring former registered representative Jamie L Solow to pay over $6m, including a $2. Fri, 16 May 2008 23:40:00 +0000 http://www.complinet.com/global/news/news/article.html?ref=110603 FINRA has fined TradeStation Securities, E*TRADE Securities and CIBC World Markets a total of $1. Fri, 16 May 2008 23:30:00 +0000 http://www.complinet.com/global/news/news/article.html?ref=110588 With so much coverage of the upcoming US presidential election, Complinet takes its own look at where the various candidates stand on the issue of financial regulation reform. Fri, 16 May 2008 13:57:36 +0000 http://www.complinet.com/global/news/news/article.html?ref=104614 The Board of Governors of the Federal Reserve System , the Office of Thrift Supervision, and the National Credit Union Administration recently released an expansive proposal to prohibit or regulate a number of practices in credit card lending. Thu, 15 May 2008 23:59:31 +0000 http://www.complinet.com/global/news/news/article.html?ref=110560 FINRA has progressed in its efforts to consolidate NASD and New York Stock Exchange rules into a unified rulebook by proposing new, modified and streamlined rules in four key areas. Thu, 15 May 2008 23:58:00 +0000 http://www.complinet.com/global/news/news/article.html?ref=110556 The former chairman of the board and chief executive of a publicly-held company faces up to five years in federal prison for obstructing a Securities and Exchange Commission investigation into alleged accounting irregularities. Thu, 15 May 2008 22:00:00 +0000 http://www.complinet.com/global/news/news/article.html?ref=110499 Colleges of supervisors for large cross-border banks have discreetly existed for a long time, in some cases for decades. Thu, 15 May 2008 16:34:01 +0000 http://www.complinet.com/global/news/news/article.html?ref=110547 The Securities Industry and Financial Markets Association has welcomed the Transatlantic Economic Council's statement on progress towards regulatory convergence between the European Union and the United States. Thu, 15 May 2008 15:59:19 +0000 http://www.complinet.com/global/news/news/article.html?ref=110528 The world's top 100 financial firms are spending an estimated £28bn per year on compliance and regulation, with the figure set to jump to £50bn by 2010, according to Deloitte. Thu, 15 May 2008 15:53:04 +0000 http://www.complinet.com/global/news/news/article.html?ref=104608 The United States Court of Appeals for the Seventh Circuit recently ruled in Pugh v. Wed, 14 May 2008 23:58:05 +0000