Securities and Exchange Commission (SEC)

366 results about this entity

Period: 18 Oct 2004 - 01 Nov 2024

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US markets gear up for e-trading surge with launch of Reg NMS regulations

US markets gear up for e-trading surge with launch of Reg NMS regulations

As US exchanges and ECNs gear up for a spike in electronic trading following the introduction of the Regulation NMS trading rules today, the New York Stock Exchange (Nyse) - the world's largest market - is still not ready and has asked the Securities and Exchange Commission (SEC) for relief from compliance with some of the rules.

SEC sues PR hackers

SEC sues PR hackers

The US Securities and Exchange Commission (SEC) has filed fraud charges against a Hong Kong-based company that allegedly hacked into corporate servers to access advance PR filings and made at least $2.7 million in the past two months by trading on the stolen data.

Wall Street calls for SEC to delay market data rulings

Wall Street calls for SEC to delay market data rulings

Wall Street lobbying group The Securities Industry and Financial Markets Association (Sifma) has called on the Securities and Exchange Commission (SEC) to delay any rulings that would allow stock exchanges to charge to deliver real-time stock data to Web sites.

Pump-and-dump stock phishing spam up 400% in 2006

Pump-and-dump stock phishing spam up 400% in 2006

Pump and dump penny stock e-mail phishing scams rose by a massive 400% in 2006 according to data from US digital security firm SonicWall.

Nyse calls for SEC to postpone Reg NMS regulations

Nyse calls for SEC to postpone Reg NMS regulations

The New York Stock Exchange has called for the US Securities and Exchange Commission to postpone the implementation date of the Regulation NMS trading rules from February to March so as to coincide with the roll-out of a new round of trading system upgrades.

SEC to review Nyse data fee ruling

SEC to review Nyse data fee ruling

The US Securities and Exchange Commission has heeded the demands of Internet giants such as Google and Yahoo! and agreed to review a recent round of previously approved fee hikes for market data usage proposed by the New York Stock Exchange (Nyse).

SEC freezes assets of Estonian firm implicated in hi-tech pump and dump fraud

SEC freezes assets of Estonian firm implicated in hi-tech pump and dump fraud

The Securities and Exchange Commission has obtained an emergency asset freeze against an Estonian-based corporation accused of hi-jacking online brokerage accounts to conduct a hi-tech pump and dump scam.

FSA ditches XBRL

FSA ditches XBRL

The UK's Financial Services Authority has stated that it will not be introducing the eXtensible business reporting language (XBRL) format for filing of financial and regulatory returns.

Internet giants lobby SEC over exchange data fees

Internet giants lobby SEC over exchange data fees

A coalition of some of the Internet's largest financial news sites, including Google and Yahoo!, is petitioning the Securities and Exchange Commission to review the fees that stock exchanges charge for market data.

Estonian trader settles SEC electronic theft charges

Estonian trader settles SEC electronic theft charges

An Estonian man who allegedly used a 'spider' program to steal advance PR filings from the Business Wire Web site will pay a $15,000 fine to settle electronic theft charges and return more than $550,000 of trading profits, the US Securities and Exchange Commission (SEC) says.

SEC probes Diebold

SEC probes Diebold

US ATM manufacturer Diebold says the US Securities and Exchange Commission (SEC) has launched a formal investigation into how the company recognises its revenue.

SOX not an immediate issue in LSE/Nasdaq tie-up, but regulatory implications remain says FSA

SOX not an immediate issue in LSE/Nasdaq tie-up, but regulatory implications remain says FSA

The Financial Services Authority has stated that UK-listed firms would not have to comply with Sarbanes Oxley and other US regulations if the London Stock Exchange is bought out by an American company, but cautions LSE stakeholders against future compliance headaches in a combined group.

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