359 results about this entity
Period: 18 Oct 2004 - 15 Aug 2024
News
European Commissioner for internal markets and services Michel Barnier has vowed to work with US counterparts to increase high-frequency trading regulation, says Reuters.
12 October 2010
The US Commodity Futures Trading Commission (CFTC) is calling for caps on the ownership stakes members can hold in clearing houses, exchanges and trading systems.
01 October 2010
US inter-dealer brokers have called on regulators to ensure fair access to newly-created Swap Execution Facilities as the Securities and Exchange Commission and Commodity Futures Trading Commission meet to discuss governance and conflicts of interest in the clearing and listing of swaps.
20 August 2010
Bats Global Markets says it will launch its second US equities exchange in the next couple of months after receiving regulatory approval from the SEC.
16 August 2010
An over-reliance on computer systems and high-frequency trading were the biggest contributors to the 6 May flash crash that saw a dizzying plunge in the Dow Jones Industrial Average, according to a poll of retail financial advisors.
12 August 2010
The US Financial Inustry Regulatory Authority (Finra) has warned investors to be on their guard against social media-linked ponzi schemes, in which scam artists use YouTube, Twitter and facebook to promote high-yield investment programmes (Hyips) with the promise of unrealistically high returns.
16 July 2010
The US Commodity Futures Trading Commission (CFTC) has proposed new rules that would require exchanges and clearing houses to establish disaster recovery procedures in the event of a market-wide disruption.
15 July 2010
The Securities and Exchange Commission says its chief information officer, Charles Boucher, is quitting less than two years into the job. A successor has not yet been named.
13 July 2010
The circuit breaker mechanism introduced in the wake of last month's flash crash was called in to action yesterday when a reporting error saw shares in Citi plunge 17%.
30 June 2010
A US Senator has called on the Securities and Exchange Commission to review its "revolving door" policy, which sees many senior staffers leave for jobs with firms they once regulated.
17 June 2010
ATM manufacturer Diebold has agreed to pay $25 million to settle Securities and Exchange Commission charges of fraudulent accounting designed to inflate earnings.
03 June 2010
The Securities and Exchange Commission has voted to approve a proposal requiring national securities exchange to establish a consolidated audit trail of all stocks traded in US markets from order through to execution.
27 May 2010
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