01 October 2014

Latest articles for Securities and Exchange Commission (SEC)

 

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

24 September 2014  |  687 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  |  853 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  |  1558 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  |  1108 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  |  1064 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  |  989 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.

 

Citi penalised for ATS subscriber data fail

25 July 2014  |  1556 views  |  0 Company announcement

The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to protect the confidential trading data of its subscribers.

 

SEC orders tick-size pilot plan

26 June 2014  |  1660 views  |  0 Company announcement

The Securities and Exchange Commission today announced that it has ordered the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to act jointly to develop and file with the Commission 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 small capitalization stocks.

 

IEX hires former SEC man John Ramsay

17 June 2014  |  595 views  |  0 Company announcement

IEX today announced that John Ramsay, until recently the Acting Director of the Securities and Exchange Commission's Division of Trading and Markets, is joining the company as its Chief Market Policy and Regulatory Officer.

 

Liquidnet fined $2m for misusing dark pool subscriber data

09 June 2014  |  4168 views  |  1 News

Dark pool operator Liquidnet has agreed to pay $2 million to settle SEC charges that it improperly used confidential trading data from its subscribers.

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