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  1. September 19, 2014

    Finra shines light into dark pools

    The board of the Financial Industry Regulatory Authority has approved proposals aimed at increasing transparency in...

  2. FT Alphaville

    September 19, 2014

    Anti-Abacus, anti-BISTRO and anti-balance sheet synthetic securitisation

      Close your eyes, lay back and imagine yourself as a regulator at the US Securities and Exchange Commission (do we have...

Special Reports

  1. FT 300 Top Registered Investment Advisers

    The inaugural edition of the FT 300 list begins by asking what makes a top-quality adviser...
  2. Special Report: Investing for the Future

    In the fourth part of our series examining the relationship between institutional inve...
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  1. September 18, 2014

    Oxfam sues SEC over delay in oil and gas payment disclosure rules

    Oxfam America is suing the US Securities and Exchange Commission for a second time over the agency’s delay in issuing rules...

  2. September 18, 2014

    Latour to pay record capital violations fine

    A high-frequency trading group has agreed to pay a record settlement for capital violations to resolve a charge by US...

  3. FT Alphaville

    September 17, 2014

    The belated Michael Lewis effect?

    The five and a half months since this book was published have not been an easy one for the high frequency trading community,...

  4. September 12, 2014

    The billionaires bending American politics to their will

    The billionaire Koch family members, outspoken on a host of Republican causes, have lately begun discussing something...

  5. September 7, 2014

    US chief executives hoard good news for stock sales

    US chief executives systematically time the release of good news to get an upward “pop” in the share price before they sell...

  6. September 7, 2014

    Vanguard to fight ‘tax dodge’ lawsuit vigorously

    For years the world’s biggest asset managers have tried everything to slow Vanguard’s meteoric rise. Now a startling...

  7. September 4, 2014

    ITG eyes dark pool for US corporate bonds

    Investment Technology Group, a brokerage that runs an off-exchange trading venue for equities, plans to launch a dark pool...

  8. September 2, 2014

    Brazil rival raises tensions in Fyffes deal

    Fyffes and Chiquita, the banana distributors seeking to keep their proposed merger on course, have hit out at the Brazilian...

  9. August 31, 2014

    US advisers must pay to be regulated

    A key official at the Securities and Exchange Commission has called for US financial advisers to pay an annual fee so that...

  10. August 31, 2014

    European fund houses fear SEC’s reach

    US regulators are stepping up their scrutiny of European fund managers amid concerns over the pricing of hard-to-value...

  11. August 27, 2014

    Beware Jolly Roger flag on pink sheet stocks

    Of all the symbols that flash danger, nothing comes close to the Jolly Roger. The skull and crossbones flag flies across a...

  12. August 24, 2014

    SEC widens the net of mutual hedge fund review

    The US regulator has widened its investigation into how the alternative mutual fund industry operates as concerns build...

  13. August 22, 2014

    Goldman and Morgan Stanley in DoJ mortgage talks

    Goldman Sachs and Morgan Stanley are in preliminary discussions with the Department of Justice over allegations they...

  14. August 19, 2014

    Community Health Systems says Chinese hackers stole patient data

    Community Health Systems, the US hospital operator, said that Chinese hackers have stolen private information about 4.5m of...

  15. August 14, 2014

    US bank bonus curb hit by regulatory squabble

    A US proposal requiring executives of the world’s largest banks to defer compensation to prevent the kind of risk-taking...

  16. August 12, 2014

    Ocwen Financial results to be restated after assets revalued

    Ocwen Financial is to restate its financial accounts to reflect a change in the valuation of assets worth about $634m, the...

  17. August 6, 2014

    BATS close to settling high-frequency trading case

    BATS Global Markets, the second-largest stock exchange in the US by volume, is in advanced settlement talks to resolve a...

  18. August 5, 2014

    Cobalt to fight SEC corruption allegations

    US regulators have told Cobalt International Energy that they intend to bring charges against the Goldman Sachs-backed...

  19. August 4, 2014

    Lawsky opens new front in Ocwen probe

    New York’s top banking regulator has called into question a “troubling transaction” by Ocwen Financial and one of its...

  20. August 1, 2014

    Allergan files insider trading lawsuit against suitors

    The gloves, already unstrung in Allergan’s fight to prevent a $53bn takeover by rival drugmaker Valeant, were tossed out of...

  21. August 1, 2014

    Clawing back bonuses is easier said than done

    This week, UK regulators put forward what they say are the world’s toughest rules on bankers’ pay. The plans call for big...

  22. August 1, 2014

    Chris Christie’s woes show road funds squeeze

    Looking at the rusted steel beams that carry the Pulaski Skyway over the streets of Jersey City it is clear that one of New...

  23. July 31, 2014

    Asset managers may escape systemic label

    Large asset managers, including BlackRock and Fidelity, have for now escaped being labelled ‘systemically important’ as...

  24. July 28, 2014

    Smith & Wesson hit by bribery penalty

    Smith & Wesson, the US firearms manufacturer, has paid more than $2m to the Securities and Exchange Commission for allegedly...

  25. July 28, 2014

    Virgin America files for IPO

    Virgin America, the California-based airline partly owned by Sir Richard Branson’s Virgin Group, has announced plans for an...

  26. July 28, 2014

    New money market fund rules risk backfire

    It is irritating enough here in the US to have to pay $2 or more to get money out of a cash machine, if there happens not to...

  27. July 25, 2014

    Citi pays $5m to settle SEC data charges

    Citigroup will pay a record fine to settle charges that it failed to protect confidential equity trading data in the latest...

  28. July 24, 2014

    Morgan Stanley pays $275m to settle SEC mortgage securities case

    Morgan Stanley became the latest and likely last bank to settle with the Securities and Exchange Commission for allegedly...

  29. July 23, 2014

    S&P faces securities fraud charges over mortgage ratings

    Standard & Poor’s may face securities fraud charges for ratings given to six commercial mortgage-backed securities issued in...

  30. FT Alphaville

    July 23, 2014

    The Closer

    FURTHER FURTHER READING - Another false alarm on US inflation? - A dearth in innovation for key drugs. - Should the US...

  31. July 23, 2014

    US approves money market funds reform

    The US on Wednesday approved new rules on money market funds in a bid to prevent future runs on the investments, amid...

  32. July 21, 2014

    Barclays ‘dark pool’ trades dry up after high-frequency suit in US

    Clients are fleeing Barclays’ “dark pool” in the wake of a US lawsuit alleging the UK bank misled them about high frequency...

  33. July 21, 2014

    Fund managers on alert over money market shake-up

    Fund managers are jostling to keep hold of $900bn of assets that could be shaken loose by new US rules on money markets...

  34. July 20, 2014

    Asset managers tight-lipped on dark pools

    Dark pools have seemingly lived up to their name as murky trading venues after an increase in regulatory action against them...

  35. July 17, 2014

    Alibaba NYSE debut slides beyond August

    Alibaba’s hotly anticipated initial public offering – which is expected to be among the largest ever stock market listings –...

  36. July 17, 2014

    US authorities charge seven over ‘pump and dump’ scheme

    Seven people, including the ex-husband of a former star of The Sopranos television series, were charged with allegedly...

  37. July 15, 2014

    Chris Dodd reaffirms push for single US prudential regulator

    Chris Dodd, the former US senator responsible for the landmark Dodd-Frank financial reform bill, said the idea of paring...

  38. July 14, 2014

    US securities sector in push to cut fees

    The US securities industry has called on regulators to change its rules and cut or abolish the fees that exchanges charge...

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