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.
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.
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.
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 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.
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.
The Securities and Exchange Commission has approved new rules designed to strengthen the US market's technology infrastructure, which has frequently buckled under increasing strain in recent years.
The Securities and Exchange Commission today announced charges against two India-based operators of an alleged high-yield investment scheme seeking to exploit investors through pervasive social media pitches on Facebook, YouTube, and Twitter.
The U.S. Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy ("OIEA") is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or misleading information about stocks.
Former US Securities and Exchange Commission chairman Arthur Levitt is taking on advisory roles at bitcoin firms BitPay and Vaurum. He enters the cryptocurrency industry as it digests rulings from regulators that could see many companies classed as money transmitters.
© Finextra Research 2015