Posts filed under “Regulation”

State Street CIO Conference

Interesting day as I am scheduled to open the State Street CIO summit by  interviewing Arthur Levitt, former chairman of the SEC, right about . . . NOW.

I will post an update if I can

Category: Investing, Regulation

MiB: FDIC Chairman Sheila Bair

This week’s Masters in Business Radio show is on at 10:00 am and 6:00 pm on Bloomberg Radio 1130AM and Siriux XM 119. Our guest is former FDIC chairman Sheila Bair. You can also find at Bairblog. Her book on her time at the FDIC and the financial crisis is Bull by the Horns: Fighting…Read More

Category: Media, Podcast, Politics, Regulation

HFT: Jumping the Queue

click for full image Source: WSJ

Category: Digital Media, Regulation, Trading

My Interview with SEC Chair Arthur Levitt on Soundcloud

Check out this fascinating and freewheeling interview with former SEC Chairman Arthur Levitt:

 

Category: Regulation, Video

Free Lunch Over for Money-Market Funds

Of all the outrages endured during the financial crisis, perhaps the most perplexing involved money-market mutual funds. In an example of moral hazard writ large, this uninsured risk instrument — with $2.57 trillion in assets — somehow became too big to fail. Five years later, the Securities and Exchange Commission is finally taking steps to…Read More

Category: Mutual Funds, Really, really bad calls, Regulation

The Tab for the Financial Crisis

Click to see an interactive graphic. Source: WSJ

Category: Regulation

Bank fines cleaning up ‘corporate culture’


Source: Yahoo Finance

Category: Corporate Management, Regulation, Video

July 4th Park Rules

Freedom:   Source: The Vulgar Trader

Category: Humor, Really, really bad calls, Regulation

Are the Rating Agencies About to Get Their Comeuppance?

This week in encouraging news, we learn that the Securities and Exchange Commission may finally be pursuing one of the prime enablers of the financial crisis — the ratings companies. Previously, it was reported that disclosure violations were on the SEC’s radar, but truth be told, those are minor offenses. The SEC’s Office of Credit…Read More

Category: Analysts, Bailout Nation, Credit, Really, really bad calls, Regulation

Fines: SEC vs. Finra

Quelle surprise!  Fines: SEC vs. Finra Source: WSJ   Continues here

Category: Corporate Management, Legal, Regulation