Securities and Exchange Commission (SEC)

359 results about this entity

Period: 18 Oct 2004 - 15 Aug 2024

Prosper stops taking new loans

US online person-to-person lending exchange Prosper has stopped accepting new loans as it looks to register its business with federal regulators.

Bats secures exchange status

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.

SEC launches AML site for mutual funds

The Securities and Exchange Commission (SEC) has unveiled an online one-stop reference service to help mutual funds meet anti-money laundering (AML) regulations.

E*Trade pays $1m to settle SEC AML charge

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.

UBS launches ATS in US

Swiss investment bank UBS says its global equities business has launched an alternative trading system (ATS) for crossing orders in US stocks.

SEC reports account hijacking and ID theft scam

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.

Bats applies for exchange status

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.

Nasdaq to launch electronic 144A securities market

US stock market operator Nasdaq says it has received regulatory approval for its new electronic trading platform for unregistered securities.

SEC charges two for penny stock spam scam

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.

New York creates panel to modernise financial sector regulation

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.

Bisys fined $25m for accounting and reporting violations

New York financial BPO outfit Bisys has agreed to pay around $25 million to settle claims of improper accounting practices and financial reporting violations.

Morgan Stanley pays $7.9m to settle 'best execution' charges

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.