359 results about this entity
Period: 18 Oct 2004 - 15 Aug 2024
News
Financial market trade groups have written to industry regulators asking for more time to review new swap trading rules.
02 June 2011
The Securities and Exchange Commission has charged a former Nasdaq managing director with insider trading on confidential information that he stole while working in a unit that communicates with companies in advance of market-moving public announcements.
27 May 2011
Exchange operator Bats Global Markets has filed with the Securities and Exchange Commission (SEC) for an initial public offering (IPO).
13 May 2011
US financial regulators the Commodity Futures Trading Commission and the Securities and Exchange Commission have been awarded big budget increases by the Senate Appropriations Committee.
13 April 2011
Regulatory efforts to introduce more automation in manually-driven over-the-counter derivatives trading have been advanced by the publication of new research into the feasibility of rendering OTC documentation in machine-readable format.
11 April 2011
The Securities and Exchange Commission (SEC) has unveiled plans to ditch circuit breakers in favour of a 'limit up-limit down' mechanism for reducing market volatility.
06 April 2011
Securities and Exchange Commission chairman Mary Schapiro is calling for tougher regulation on automated trading systems in a bid to combat the risks of algorithmic-generated volume surges and hacking.
24 March 2011
High-frequency traders could be charged fees for the disproportionate amount of orders they send under recommendations from a panel set up in the wake of last May's flash crash.
18 February 2011
The Securities and Exchange Commission (SEC) has begun scrutinising how investment advisers use Twitter, Facebook and other social media tools.
16 February 2011
US government plans to almost double the budget of the Commodity Futures Trading Commission (CFTC) by enabling it to collect fees from the firms it regulates have received a mixed reaction from Commissioners.
15 February 2011
Investment firm Axa Rosenberg has agreed to pay $242 million to settle SEC charges that it covered up a computer code error in its quantitative investment model that cost clients millions of dollars.
04 February 2011
The Futures Industry Association has urged the Commodity Futures Trading Commission and the Securities and Exchange Commission to withdraw or defer acting on rules to limit ownership of clearing houses and swap execution facilities.
23 November 2010
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