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