05 August 2015

Latest articles for Securities and Exchange Commission (SEC)


Big data firm Palantir raises $450m

24 July 2015  |  4076 views  |  0 News

Palantir Technologies, a big data startup co-founded by Peter Thiel, has completed a massive $450 million funding round that values the company at $20 billion.


Nasdaq and Nyse propose mutual back-up plan

23 July 2015  |  2398 views  |  0 News

Two rival exchanges, the New York Stock Exchange (Nyse) and Nasdaq OMX, are planning to provide back-up to each other's closing auctions in order to prevent a repeat of the outage that hit Nyse earlier this month.


Kx Systems wins SEC contract

07 July 2015  |  1103 views  |  0 Company announcement

Kx Systems, a leader in high-performance database and time-series analytics, has announced that it has been awarded a contract by the U.S. Securities and Exchange Commission (SEC) for use of its kdb+ software in supporting its ongoing IT objectives.


SEC commissioner calls for Reg SCI scope to be widened

26 June 2015  |  3561 views  |  0 News

An SEC commissioner has called on the regulator to massively expand the scope of recently introduced rules designed to strengthen the US market's technology infrastructure and protect it from cyber attacks.


SEC approves pilot to assess tick size for smaller companies

07 May 2015  |  1387 views  |  0 Company announcement

The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or tick sizes–for stocks of some smaller companies.


SEC names Pamela C. Dyson CIO

13 February 2015  |  2210 views  |  0 Company announcement

The Securities and Exchange Commission today announced that Pamela C. Dyson has been appointed as the SEC's Chief Information Officer (CIO) in charge of overseeing the agency's information technology functions.


Bats files petition with SEC for rulemaking on market stucture reform

04 February 2015  |  1206 views  |  0 Company announcement

BATS Global Markets (BATS) formally filed a petition for rulemaking on market structure reform with the Securities and Exchange Commission (SEC) and issued a call-to-action to the industry, urging participants to engage in a constructive dialogue to improve the already healthy U.S. equity market for all investors.


SEC warns of cybersecurity risks to online investment accounts

03 February 2015  |  2835 views  |  0 Company announcement

The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to protect their online investment accounts.


UBS fined over dark pool operations

15 January 2015  |  3660 views  |  0 Company announcement

The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure failures and other securities law violations related to the operation and marketing of its dark pool.


SEC bids to boost transparency with new swap reporting rules

15 January 2015  |  2775 views  |  0 Company announcement

The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data.

Previous 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 Next
Your browser is unable to support Flash files.

Top topics

Most viewed Most shared
ING Bank introduces voice-activated mobile...
11758 views comments | 28 tweets | 36 linkedin
Will Uber be the Uber of banking?
10367 views comments | 47 tweets | 34 linkedin
Deutsche Bank backs blockchain potential
7467 views comments | 35 tweets | 19 linkedin
MasterCard to connect Europe to Samsung Pa...
7208 views comments | 20 tweets | 17 linkedin
Bank branches key to fending off digital c...
6811 views 11 comments | 21 tweets | 30 linkedin

Solution source

Search by company or single key word

Featured contributor

Dion Global Solutions GmbH