366 results about this entity
Period: 18 Oct 2004 - 01 Nov 2024
News
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
US online person-to-person lending exchange Prosper has stopped accepting new loans as it looks to register its business with federal regulators.
17 October 2008
Kansas-based ECN operator Bats Trading has received approval from the US Securities and Exchange Commission (SEC) to operate as a registered national securities exchange.
19 August 2008
The Securities and Exchange Commission (SEC) has unveiled an online one-stop reference service to help mutual funds meet anti-money laundering (AML) regulations.
08 August 2008
Online brokerage E*Trade has agreed to pay $1 million to settle claims that two of its units failed to comply with US anti-money laundering (AML) regulations.
30 July 2008
Swiss investment bank UBS says its global equities business has launched an alternative trading system (ATS) for crossing orders in US stocks.
14 May 2008
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