Securities and Exchange Commission (SEC)

367 results about this entity

Period: 18 Oct 2004 - 16 Dec 2024

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SEC to host public fintech forum

SEC to host public fintech forum

The Securities and Exchange Commission is to host a public forum to discuss fintech innovation in the financial services industry.

Merrill Lynch pays $12.5m fine over mini-flash crashes

Merrill Lynch pays $12.5m fine over mini-flash crashes

The Securities and Exchange Commission has fined Merrill Lynch $12.5 million for ineffective trading controls which led to a series of "mini-flash crashes".

SEC amends investment advisor rulebook

The Securities and Exchange Commission today adopted amendments to several Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers.

Computer coding error costs Citigroup $7 million

Computer coding error costs Citigroup $7 million

The US Securities and Exchange Commission has slapped a $7 million fine on Citigroup to settle charges that a computer coding error caused the firm to provide the agency with incomplete 'blue sheet' information about trades it executed.

SolidX files to list Bitcoin ETF

SolidX Partners Inc., an innovative blockchain technology company, today announced that it has filed a registration statement on Form S-1 with the Securities and Exchange Commission relating to the proposed launch of the SolidX Bitcoin Trust, which will seek to provide shareholders with exposure the daily change in the U.S. dollar price of bitcoin, before expenses and liabilities of the Trust, as measured by the TradeBlock XBX Index.

SEC freezes assets of UK-based trader over alleged hacking

The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online brokerage accounts of U.S. investors to make unauthorized stock trades that allowed him to profit on trades in his own account.

SEC approves IEX exchange status

The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange.

Morgan Stanley hit with $1m SEC fine over customer data hack

Morgan Stanley hit with $1m SEC fine over customer data hack

Morgan Stanley will pay a $1 million penalty to settle SEC charges related to data protection failures which saw a former staffer transfer account data to his personal server, which was then hacked.

SEC bills cyber threats as biggest risk to financial markets

SEC bills cyber threats as biggest risk to financial markets

As the world's banks scramble to shore up security in their connections to the Swift interbank payments network, US Securities and Exchanges Commission chair Mary Jo White has described cyber hacking as the biggest risk facing the world's financial markets.

Lending Club faces Justice Department probe

Lending Club faces Justice Department probe

After its CEO was forced out over a loans sale scandal, Lending Club says that it is being investigated by the US Justice Department and admitted that investors are pulling back from debt purchases.

SEC sets out details for consolidated audit trail database

SEC sets out details for consolidated audit trail database

The Securities and Exchange Commission (SEC) has set out plans to build a database, called the consolidated audit trail (CAT), which will help regulators track all trading activity in the US equity and options market.

Whistleblower says SEC awarded him $750,000 for Nyse tip

Whistleblower says SEC awarded him $750,000 for Nyse tip

The founder of market data outfit Nanex says that he has been awarded $750,000 for a whistleblowing tip that resulted in the New York Stock Exchange getting slapped with a $5 million SEC fine.

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