364 results about this entity
Period: 18 Oct 2004 - 24 Sep 2024
Company announcement
The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or tick sizes–for stocks of some smaller companies.
07 May 2015
The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure failures and other securities law violations related to the operation and marketing of its dark pool.
15 January 2015
The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data.
News
The Securities and Exchange Commission has approved new rules designed to strengthen the US market's technology infrastructure, which has frequently buckled under increasing strain in recent years.
19 November 2014
Former US Securities and Exchange Commission chairman Arthur Levitt is taking on advisory roles at bitcoin firms BitPay and Vaurum. He enters the cryptocurrency industry as it digests rulings from regulators that could see many companies classed as money transmitters.
28 October 2014
Dark pool operator Liquidnet has agreed to pay $2 million to settle SEC charges that it improperly used confidential trading data from its subscribers.
09 June 2014
US Securities and Exchange Commission chair Mary Jo White has laid out her plans to rein in high-frequency traders and improve oversight of dark pools.
06 June 2014
The US Securities and Exchange Commission (SEC) is warning investors that getting involved in bitcoin is a risky business that could leave them open to fraud.
08 May 2014
The Securities and Exchange Commission has been criticised by a US congressional watchdog over cybersecurity weaknesses, including the failure to authenticate users and encrypt sensitive data.
22 April 2014
The Securities and Exchange Commission is to conduct checks on more than 50 registered broker-dealers and investment advisors to assess their ability to counteract cyber-security threats.
16 April 2014
Transaction brokerage ConvergEx has agreed to pay $150 million to settle charges that it deceived institutional clients into paying substantially higher amounts than disclosed for the execution of trading orders
19 December 2013
US ATM manufacturer Diebold has agreed to pay $48 million to settle criminal and civil charges that it handed over millions of dollars in bribes to bank officials in China, Indonesia and Russia.
23 October 2013
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