26 May 2015

Latest articles for Securities and Exchange Commission (SEC)

 

SEC approves pilot to assess tick size for smaller companies

07 May 2015  |  1249 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  |  2136 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  |  1152 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  |  2770 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  |  3579 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  |  2725 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.

 

SEC names new equity market structure advisory committee

14 January 2015  |  1092 views  |  0 Company announcement

The Securities and Exchange Commission today announced the members of a new Equity Market Structure Advisory Committee, which will focus on the structure and operations of the U.S. equities markets.

 

SEC to take enforcement action against legacy Direct Edge exchanges

13 January 2015  |  1220 views  |  0 Company announcement

BATS announces the conclusion of two separate investigations into the development of order types; one relates to BATS and the other relates to Direct Edge.

 

Bats pens open letter to SEC proposing tiered market access fees

07 January 2015  |  1383 views  |  0 Company announcement

BATS Global Markets (BATS) today proposed market structure initiatives designed to benefit all investors and issuers, including a reduction of more than 80% in access fees for the U.S. stock market's most liquid securities.

 

SEC fines bitcoin exchange operator

08 December 2014  |  1710 views  |  0 Company announcement

The Securities and Exchange Commission today sanctioned a computer programmer for operating two online venues that traded securities using virtual currencies Bitcoin or Litecoin without registering the venues as broker-dealers or stock exchanges.

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