364 results about this entity
Period: 18 Oct 2004 - 24 Sep 2024
News/regulation
Charles Schwab is facing a $200 million charge relating to a Securities and Exchange Commission (SEC) investigation into the firm's robo advisor.
07 July 2021
Company announcement/regulation
The Securities and Exchange Commission today announced that Neovest Inc., a provider of an order and execution management system (OEMS) that facilitates electronic trading, has agreed to pay a $2.75 million penalty for its failure to register as a broker-dealer in violation of the federal securities laws.
29 June 2021
Company announcement/sustainable
The Securities and Exchange Commission today announced the creation of a Climate and ESG Task Force in the Division of Enforcement.
05 March 2021
US regulators have made inquiries to Robinhood about the trading restrictions the app put on stocks such as GameStop during the Reddit-led rallies earlier this year.
26 February 2021
News/crypto
Ripple has accused the Securities and Exchange Commission of distorting the facts about the status of its cryptocurrency XRP in its first formal response to a regulatory lawsuit filed in December.
01 February 2021
The US Securities and Exchange Commission is gearing up to take enforcement action against Ripple and its digital asset XRP.
22 December 2020
Stock trading app Robinhood has been hit with a $65 million fine by the Securities and Exchange Commission for misleading customers about payment for order flow practices that cost traders over £34 million in lost gains, the latest in a series of damning complaints about the firm's business tactics.
17 December 2020
Company announcement/markets
The Securities and Exchange Commission today adopted rules to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system stocks (“NMS market data”).
09 December 2020
Stock trading app Robinhood is being investigated by the Securities and Exchange Commission for failing to disclose that it sold clients' orders to high speed trading firms, according to the Wall Street Journal.
03 September 2020
The Securities and Exchange Commission today adopted amendments to the “accredited investor” definition, one of the principal tests for determining who is eligible to participate in our private capital markets.
26 August 2020
The U.S. Securities and Exchange Commission’s Strategic Hub for Innovation and Financial Technology (FinHub) today announced the launch of virtual peer-to-peer meet-ups (P2Ps).
11 June 2020
The Securities and Exchange Commission today voted to adopt amendments to the national market system plan governing the consolidated audit trail (the “CAT NMS Plan”) to bring additional transparency, governance, oversight, and financial accountability to its implementation.
18 May 2020
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