26 November 2014

Latest articles for Securities and Exchange Commission (SEC)

 

SEC strengthens exchange technology rules

19 November 2014  |  3399 views  |  0 News

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.

 

SEC files charges against Indian-based operators of social media-led high-yield investment scheme

13 November 2014  |  925 views  |  0 Company announcement

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.

 

SEC releases guidance on market manipulation through social media rumours

07 November 2014  |  2804 views  |  0 Company announcement

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 SEC chairman Levitt becomes advisor to bitcoin firms

28 October 2014  |  5075 views  |  0 News

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.

 

SEC fines BarCap $15 million for systemic compliance failures after Lehman acquisition

24 September 2014  |  815 views  |  0 Company announcement

The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008.

 

SmartStream wins contract from SEC to deploy Ocie with TLM reconciliation tech

23 September 2014  |  975 views  |  0 Company announcement

SmartStream Technologies, the Transaction Lifecycle Management (TLM®) specialist, today announced that the U.S. Securities and Exchange Commission (SEC) has awarded a contract to SmartStream to furnish its TLM Reconciliations Premium solution to the SEC's Office of Compliance Inspections and Examinations (OCIE).

 

SEC creates new data-driven risk assessment office

12 September 2014  |  1673 views  |  0 Company announcement

The Securities and Exchange Commission today announced the creation of a new office within the Division of Economic and Risk Analysis (DERA) that will coordinate efforts to provide data-driven risk assessment tools and models to support a wide range of SEC activities.

 

SEC preps pilot to assess tick size impact on small firms

27 August 2014  |  1181 views  |  0 Company announcement

The Securities and Exchange Commission today announced that the national securities exchanges and the Financial Industry Regulatory Authority (Finra) filed a proposal to establish a national market system plan to implement a targeted 12-month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain stocks with smaller capitalization.

 

CIO Thomas Bayer to leave SEC

21 August 2014  |  1125 views  |  0 Company announcement

The Securities and Exchange Commission today announced that its Chief Information Officer Thomas Bayer is planning to leave the agency in October.

 

SEC rules benefit dark pools over lit markets - CMCRC

29 July 2014  |  1066 views  |  0 Company announcement

The Capital Markets Cooperative Research Centre (CMCRC) have published a new paper finding that SEC trading rules may be providing dark venues a regulatory advantage over traditional stock exchanges.

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