67 results about this entity
Period: 05 Jan 2009 - 08 May 2024
News
The Securities and Exchange Commission (SEC) has begun scrutinising how investment advisers use Twitter, Facebook and other social media tools.
16 February 2011
SunGard has launched a social media surveillance and compliance system to help firms monitor and archive content posted by staff on sites such as Facebook, LinkedIn and Twitter.
07 February 2011
A small US high frequency trading firm and several of its employees have been fined a total of $2.26 million for manipulating stock prices through a technique called "layering".
13 September 2010
The US Financial Inustry Regulatory Authority (Finra) has warned investors to be on their guard against social media-linked ponzi schemes, in which scam artists use YouTube, Twitter and facebook to promote high-yield investment programmes (Hyips) with the promise of unrealistically high returns.
16 July 2010
The Securities and Exchange Commission has voted to approve a proposal requiring national securities exchange to establish a consolidated audit trail of all stocks traded in US markets from order through to execution.
27 May 2010
FaceTime Communications has upgraded its Web gateway for firms looking to monitor and control employee content posted to blogs, wikis and social networking sites such as Twitter, Facebook and LinkedIn.
19 May 2010
The Securities and Exchange Commission (SEC) has called for uniform circuit breakers on all S&P 500 stocks in response to the "flash crash" that caused mayhem earlier this month.
Deutsche Bank Securities and National Financial Services (NFS) have been fined a total of $925,000 by US regulators for violating short order rules by circumventing their direct market access (DMA) trading systems.
14 May 2010
A financial consultancy firm has been fined $375,000 by US authorities for a series of failures that enabled a criminal gang to hack into its database and steal the confidential information of nearly 200,000 customers.
13 April 2010
US regulatory body Finra has issued guidance to securities firms and brokers on the use of social networking Web sites such as facebook, Twitter and LinkedIn to communicate with the public.
26 January 2010
The US National Futures Association has set out highly restrictive compliance rules on the use of social networking channels such as blogs, chatrooms, forums, facebook and Twitter by member financial firms.
10 December 2009
Broker Terra Nova Financial has been fined $400,000 by Finra for making more than $1 million in improper soft dollar payments to, or on behalf of, five hedge fund managers. The broker was also charged with failing to retain its business-related electronic instant messages.
24 November 2009
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