Sarah N. Lynch

Acting CFTC head pleads with U.S. Congress for more funding

May 23, 2019 at 9:30 p.m.

WASHINGTON (Reuters) - The acting head of the U.S. derivatives regulator pleaded with federal lawmakers on Thursday to give his agency more funding, saying a tight budget has prevented staff...

SEC orders New York firm to pay record $7.2 million sanction

November 4, 2021 at 1:19 a.m.

WASHINGTON (Reuters) - A New York proprietary trading firm and its owner will pay $7.2 million to settle civil charges in what U.S. regulators said on Wednesday marks the largest...

SEC orders New York firm to pay record $7.2 million sanction

December 23, 2018 at 10:29 p.m.

WASHINGTON (Reuters) - A New York proprietary trading firm and its owner will pay $7.2 million to settle civil charges in what U.S. regulators said on Wednesday marks the largest...

Obama scales back budget request for CFTC, while sparing SEC

June 24, 2019 at 9:33 a.m.

WASHINGTON (Reuters) - The White House on Tuesday asked Congress to ramp up funding for the U.S. securities regulator, but caused an outcry from the top derivatives regulator by scaling...

SEC’s Gallagher accuses Fed of power grab over foreign brokers

November 4, 2021 at 1:17 a.m.

WASHINGTON (Reuters) - The Federal Reserve's tough new capital rules for foreign banks with U.S. operations constitute a power grab to oversee stock brokerages that could ultimately harm market liquidity,...

SEC’s Gallagher accuses Fed of power grab over foreign brokers

December 23, 2018 at 10:22 p.m.

SEC tweaks its asset-backed securities plan amid privacy concerns

November 4, 2021 at 1:13 a.m.

WASHINGTON (Reuters) - U.S. regulators released a scaled-back proposal on Tuesday that seeks to soothe industry concerns over a plan to force issuers of asset-backed securities to disclose sensitive loan-level...

SEC tweaks its asset-backed securities plan amid privacy concerns

December 23, 2018 at 10:10 p.m.

SEC reviewing if some high-speed traders should register

August 25, 2021 at 1:45 a.m.

WASHINGTON (Reuters) - Securities regulators are studying whether more proprietary high-speed trading firms should register as broker-dealers, which would subject them to greater oversight, a Securities and Exchange Commission official...

Hoodie-clad billionaire Cuban live-tweets SEC conference

November 4, 2021 at 1:10 a.m.

WASHINGTON (Reuters) - The annual "SEC Speaks" conference is usually a sea of dark business suits, as buttoned-down lawyers descend on Washington to hear Securities and Exchange Commission regulators describe...

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