15 September 2014

Latest articles for Securities and Exchange Commission (SEC)

 

SEC creates new data-driven risk assessment office

12 September 2014  |  1142 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  |  1067 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  |  1030 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  |  962 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  |  1538 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  |  1644 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  |  566 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  |  4114 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.

 

SEC chair sets out HFT and dark pool proposals

06 June 2014  |  3617 views  |  0 News

US Securities and Exchange Commission chair Mary Jo White has laid out her plans to rein in high-frequency traders and improve oversight of dark pools.

 

SEC issues alert on bitcoin risks

08 May 2014  |  4216 views  |  0 News

The US Securities and Exchange Commission (SEC) is warning investors that getting involved in bitcoin is a risky business that could leave them open to fraud.

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