367 results about this entity
Period: 18 Oct 2004 - 16 Dec 2024
Company announcement
The Securities and Exchange Commission today entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by one of its affiliates.
14 September 2018
News
A Securities and Exchange Commission pilot designed to encourage trading in the shares of smaller companies has cost investors more than $300 million over its two years run, according to analysis from Pragma Securities.
07 September 2018
The Securities and Exchange Commission today announced that Citigroup has agreed to pay $10.5 million in penalties to settle two enforcement actions involving its books and records, internal accounting controls, and trader supervision.
16 August 2018
The Securities and Exchange Commission today announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft by its representatives.
15 August 2018
The Securities and Exchange Commission today obtained permanent officer-and-director and penny stock bars against the founder of a company who perpetrated a fraudulent initial coin offering (ICO) to fund oil exploration and drilling in California.
14 August 2018
The Securities and Exchange Commission today charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to stock buybacks by its issuer customers.
23 July 2018
The Securities and Exchange Commission today announced it has voted to adopt amendments to Regulation ATS to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities exchange.
19 July 2018
The Securities and Exchange Commission today voted to adopt amendments to eXtensible Business Reporting Language (XBRL) requirements for operating companies and funds. The amendments are intended to improve the quality and accessibility of XBRL data.
28 June 2018
Cryptocurrency platform Circle Internet Financial is bidding to enter the Wall Street mainstream, seeking a federal banking license and SEC registration as a brokerage and trading venue.
06 June 2018
Not content with general doom mongering on the perils of investing in Initial Coin Offerings, the Securities and Exchange Commission has gone one step further, creating its own mock ICO website that touts an all too good to be true investment opportunity.
17 May 2018
A newly-appointed SEC commissioner has taken a swipe at the global trend for establishing fintech sandboxes, arguing that they place regulators and the regulated too close together, and instead calling for a more hands off, beach lifeguard-style approach to oversight.
08 May 2018
The Securities and Exchange Commission today announced additional fraud charges stemming from an investigation of Centra Tech Inc.’s $32 million initial coin offering.
23 April 2018
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