359 results about this entity
Period: 18 Oct 2004 - 15 Aug 2024
News
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
The US Securities and Exchange Commission (SEC) says it has shut down an account hijacking scam involving a fictitious Latvian brokerage firm and a job advertisement on the Craig's List Web site that netted fraudsters more than $66,000 in just seven weeks.
08 April 2008
Bats Trading, the electronic alternative to Nasdaq and Nyse, has filed an application with the US Securities and Exchange Commission (SEC) to become a fully licensed securities exchange.
06 November 2007
US stock market operator Nasdaq says it has received regulatory approval for its new electronic trading platform for unregistered securities.
01 August 2007
The US Securities and Exchange Commission (SEC) has filed fraud charges against two Texan men who allegedly hijacked personal computers to launch penny stock e-mail scams that conned investors out of more than $4.6 million.
10 July 2007
New York Governor Eliot Spitzer has signed an executive order creating an adivisory panel to look at ways of reducing the regulatory burden in the state in a bid to regain New York's position as the world's leading financial centre.
31 May 2007
New York financial BPO outfit Bisys has agreed to pay around $25 million to settle claims of improper accounting practices and financial reporting violations.
23 May 2007
Morgan Stanley has agreed to pay nearly $7.9 million to settle claims that it failed to provide investors the best prices on stock trades because its automated trading system delayed the execution of orders and altered transaction prices - to the bank’s financial benefit.
10 May 2007
Welcome to Finextra. We use cookies to help us to deliver our services. You may change your preferences at our Cookie Centre.
Please read our Privacy Policy.