Securities and Exchange Commission (SEC)

367 results about this entity

Period: 18 Oct 2004 - 16 Dec 2024

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OTC Markets cries foul over SEC funding demands

OTC Markets cries foul over SEC funding demands

Alternative trading system (ATS) operator OTC Markets Group has argued that the Securities and Exchange Commission should revise the proposed fee schedule for the Consolidated Audit Trail (CAT) system the SEC is creating to monitor trading in all exchange-listed equities and options following the 2010 "flash crash".

AQMetrics updates platform for new SEC investment company reporting rules

Leading RegTech company, AQMetrics, today announced new enhancements to its cloud-based platform. The updates will provide registered fund clients with updated forms and an advanced risk analytics and monitoring portal to ensure compliance with the Securities and Exchange Commission’s (SEC) new reporting regulations.

Chinese hackers made $3 million trading on confidential M&A data swiped from corporate lawyers

Chinese hackers made $3 million trading on confidential M&A data swiped from corporate lawyers

Three Chinese citizens who traded on insider information by hacking into the systems of two New York-based law firms have been fined $8.8 million by the Securities and Exchange Commission.

DTCC repo clearing service gets regulatory approval

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that the Securities and Exchange Commission (SEC) has approved rule changes allowing its Fixed Income Clearing Corporation (FICC) subsidiary to expand the availability of central clearing in the repo market, strengthening both the safety and efficiency of the marketplace.

SEC issues fake news crackdown

SEC issues fake news crackdown

The US securities watchdog has issued a series of fines and penalties to individuals and entities for submitting hundreds of articles to financial websites which purported to be impartial endorsements of certain companies but which were secretly paid-for

SEC adopts T+2 settlement cycle for securities transactions

The Securities and Exchange Commission today adopted an amendment to shorten by one business day the standard settlement cycle for most broker-dealer securities transactions.

US SROs pick Thesys to build massive audit trail

US SROs pick Thesys to build massive audit trail

Thesys Technologies has won the bidding to build a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets.

MPI wins mutual fund surveillance contract from SEC

Markov Processes International, Inc., (MPI), a global FinTech provider, today announced that it has been awarded a contract by the U.S. Securities & Exchange Commission (SEC).

SEC pushes through plans to build giant audit trail

SEC pushes through plans to build giant audit trail

The Securities and Exchange Commission has approved plans to create a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets.

SEC chair Mary Jo White to step down

SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration.

Opening Remarks from SEC chair Mary Jo White at fintech forum

I want to welcome all of you to the SEC’s first Fintech Forum — both those of you in the auditorium in Washington and those watching online.

SEC amends rules to enable T+2

The Securities and Exchange Commission today voted to propose a rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions from three business days after the trade date (T+3) to two business days after the trade date (T+2).

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