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Bank settles with SEC and agrees non-prosecution deal over leak of confidential information ahead of bulk share sales
Commissioners air concerns about whether the regulator’s move came too late — and whether it should have happened at all
Regulator faces calls from lawmakers to explain how its account became ‘compromised’ in market-moving mishap
US hampered by failure to agree sort of overarching rules being put in place by Europe and UK
Chair Gary Gensler says commission’s account on X was ‘compromised’
Yes I know the dangers, but I’m having some anyway
FT journalists answer your questions!
US criminal prosecutions brought down high-profile figures in 2023 but SEC lawsuits face uphill battles
Regulator invokes need to safeguard buy-and-hold investors from rapid money flows
Tech company had appealed against earlier ruling over patent infringement on its Series 9 and Ultra 2 models
Industry group says more could follow suit as regulator steps up inspections
US regulator says it uncovered ‘billions of dollars’ of fictitious transactions through entities controlled by Dozy Mmobuosi
Financial Stability Oversight Council flags emerging technology as a ‘vulnerability’ for the first time in latest report
Plans cover fewer trades than initially proposed in concession to hedge funds
Industry says US regulator has not considered impact of its new measures on securities markets
The latest wheeze from lenders is to use ‘credit linked notes’ for capital relief
Republicans sympathise with Wall Street executives’ concerns while some Democrats downplay effect on lending
Richard Teng maintains stance taken by predecessor Changpeng Zhao, who pleaded guilty to US charges last month
JPMorgan Chase boss criticises ‘lack of economic analysis’ behind consumer regulations
CFTC commissioner says crypto groups should ‘take the hint’ after penalty designed to bring ‘order and structure’
US regulator says more than 1,000 of firm’s workers cheated on tests designed to familiarise them with US standards
UBS chair and HSBC chief join Wall Street bankers in questioning US proposals to implement Basel III rules
US compliance squeeze means new chief executive Richard Teng will be hard-pressed to keep exchange competitive
SEC also fines former chief Tom Albanese $50,000 after a five-year legal battle
Wall Street regulator says trading venue commingled customer funds with its own
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