359 results about this entity
Period: 18 Oct 2004 - 15 Aug 2024
News
The Securities and Exchange Commission (SEC) has been urged to conduct a comprehensive review of market structure by US Senator Ted Kaufman, who warns that practices such as algorithmic trading and the use of dark pools may erode investor confidence.
26 August 2009
The boss of Direct Edge, the alternative trading system that pioneered the introduction of flash order types three years ago, has launched a robust defence of the controversial practice as regulators hint at a looming crackdown.
06 August 2009
The Financial Services Authority (FSA) is examining the impact of high-frequency trading and the use of dark pools on the UK equity market.
04 August 2009
US Senator Charles Schumer has called on the Securities and Exchanges Commission (SEC) to ban "flash" trades, where users are given an advanced peek at unfilled orders ahead of the wider market.
27 July 2009
US person-to-person loan exchange Prosper says regulators have finally given it the green light to resume lending following nine months out of action.
14 July 2009
Securities and Exchange Commission (SEC) chief Mary Schapiro says the agency is to step up its scrutiny of dark pools amid concerns about the risks posed to market transparency and integrity by the proliferation of off-exchange trading venues.
19 June 2009
US person-to-person loan exchange Prosper has shut down operations again, just a couple of weeks after coming out of an enforced six month spell on the sidelines.
13 May 2009
Diebold has agreed to pay $25 million to settle a Securities and Exchange Commission (SEC) fraud investigation into how the US cash machine manufacturer recognises its revenue.
05 May 2009
The US Securities and Exchange Commission (SEC) says con-artists have been impersonating its staff to trick investors and broker-dealer firms into handing over private information and money.
04 March 2009
Mergers and acquisitions professionals from UBS and Blackstone Advisory Service have been charged by US authorities with feeding confidential information to an insider trading ring that generated over $11.6 million.
06 February 2009
Two E*Trade units have been hit with a $1 million fine for anti-money laundering (AML) policy and procedure failures by the Financial Industry Regulatory Authority (Finra) which says the online brokerage failed to implement automated electronic systems.
05 January 2009
Loanio has become the latest US online person-to-person lending exchange to stop taking new loans whilst it registers promissory notes with securities authorities.
28 November 2008
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