366 results about this entity
Period: 18 Oct 2004 - 01 Nov 2024
News
The US Securities and Exchange Commission is considering the electronic tagging of trades conducted by automated trading shops in an effort to keep tabs on the activities of high-frequency traders.
07 April 2010
The US Securities and Exchange Commission is to build a new 'state-of-the-art IT Forensics Lab' after admitting that successive technology budget cuts between 2005 and 2007 severely constrained its ability to effectively police the markets.
18 March 2010
The US Securities and Exchange Commission has proposed new rules prohibiting broker-dealers from providing customers with unfiltered or naked access to an exchange or ATS. The watchdog has also called for comment on issues relating to high-frequency trading, co-locating trading terminals and dark pool trading as it seeks to re-write the rule-book for a new era of computer-driven trading.
14 January 2010
A former Perot Systems employee accused of insider trading by the US Securities and Exchange Commission (SEC), has agreed to return $8.6 million in 'illicit profits'.
06 January 2010
Interdealer broker Icap is to pay $25 million in settlement to the US Securities and Exchange Commission over charges that it displayed fake trades on its screens to encourage customer dealing.
21 December 2009
The Securities and Exchange Commission (SEC) has filed fraud charges against Canopy Financial, a provider of healthcare banking technology, and frozen the assets of its co-founder who allegedly provided investors with forged financial statements to lure them into a $75 million investment scheme.
03 December 2009
The Securities and Exchange Commission has charged two computer programmers accused of helping Bernard Madoff cover up his multi-billion dollar Ponzi scheme.
13 November 2009
Despite growing scrutiny from regulators, the popularity of dark pools shows no signs of abating in the US, with Credit Suisse's Crossfinder ATS recording its strongest ever day this week, claiming half a billion shares traded.
30 October 2009
US regulatory body Finra has formed a Social Networking Task Force to explore the compliance challenges posed by new Web 2.0 communications channels, such as FaceBook, LinkedIn, and Twitter.
29 October 2009
After taking on dark pools and flash orders, the Securities and Exchange Commission has now turned its attention to high frequency trading and the practice of sponsored access to exchanges.
27 October 2009
The US Securities and Exchange Commission has unveiled proposals aimed at shedding more light on dark pool trading by introducing new rules that would require enhanced public disclosure of stocks passing over alternative trading networks.
21 October 2009
US broker-dealer Commonwealth Financial Network has been fined $100,000 for failing to insist its registered representatives maintain anti-virus software on their computers. The failure led to an intruder gaining access to the firm's Intranet, accessing customer accounts and entering unauthorised purchase orders worth over $523,000.
20 October 2009
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