366 results about this entity
Period: 18 Oct 2004 - 01 Nov 2024
News
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
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
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