Securities and Exchange Commission (SEC)

364 results about this entity

Period: 18 Oct 2004 - 24 Sep 2024

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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.

SEC reaches dark pool settlements with Barclays and Credit Suisse

The Securities and Exchange Commission yesterday announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.

SS&C gets SEC approval for SSCNet

SS&C Technologies Holdings, Inc. (Nasdaq:SSNC), a global provider of financial services software and software-enabled services, today announced it has received approval from the Securities and Exchange Commission (SEC) to bring its disruptive cloud-based, post-trade matching service, SSCNet to the U.S. market.

SEC charges bitcoin mining companies

The Securities and Exchange Commission today charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that used the lure of quick riches from virtual currency to defraud investors.

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