359 results about this entity
Period: 18 Oct 2004 - 15 Aug 2024
News
The Securities and Exchange Commission has charged an investment adviser with trying to sell $500 billion-worth of fictitious securities on LinkedIn and other social networking sites.
05 January 2012
The Securities and Exchange Commission has charged Longtop Financial Technologies with failing to file accurate reports, paving the way for a ban on broker-dealers trading in the Chinese fintech vendor.
11 November 2011
US watchdog Finra has been given a taste of its own medicine, scolded by the Securities and Exchange Commission (SEC) for allegedly doctoring documents before passing them on.
28 October 2011
Pipeline Trading Systems will pay $1 million to settle SEC charges that it failed to tell users of its dark pool that the vast majority of orders were filed by an affiliated operation.
25 October 2011
US electronic exchange operator Direct Edge has been sanctioned by the SEC for "weak internal controls" that led to trading losses of millions of dollars and a systems outage.
14 October 2011
The Securities and Exchange Commission (SEC) has voted to push for a rule making security-based swap entities electronically file their registration with regulators.
13 October 2011
The Securities and Exchange Commission has charged money manager AXA Rosenberg's co-founder with securities fraud for concealing a computer code error in a quantitative investment model he developed, costing clients millions of dollars.
22 September 2011
The Securities and Exchange Commission (SEC) has asked a federal court to force the Chinese arm of accounting outfit Deloitte & Touche to hand over documents related to possible fraud by Longtop Financial Technologies.
09 September 2011
ACI Worldwide has escalated its efforts to derail the proposed merger between S1 and Fundtech, filing preliminary proxy materials with the SEC to solicit S1 shareholder votes against the deal.
16 August 2011
The Securities and Exchange Commission (SEC) has launched a whistleblower Web page where staff can leave tips about securities law violations and apply for cash rewards.
15 August 2011
The Securities and Exchange Commission is pressing ahead with the creation of a system to collect transaction data from large traders such as banks and hedge funds that will help it to investigate wild stock market swings like last year's May 6 flash crash.
27 July 2011
Representatives from the ISO, Goldman Sachs, Google and Swift are among the members of a new technology advisory sub-committee on data standardisation set up by the CFTC.
24 June 2011
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