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Latest news and analysis on Securities and Exchange Commission (SEC) (609 items)

06 Oct 2009
News
SEC approves new rules to deal with erroneous trades
18 Sep 2009
News
SEC proposes flash ban; takes aim at credit rating agencies
17 Sep 2009
Company
SEC selects Financial Tracking Technologies employee compliance software
17 Sep 2009
News
Bats plans second US equities exchange
16 Sep 2009
News
CBOE delays launch of C2 electronic platform
14 Sep 2009
Company
SEC publishes Direct Edge exchange applications
02 Sep 2009
Company
VeriFone settles SEC accounting probe; posts Q3 profit
26 Aug 2009
News
Algo traders and dark pools under fire as US senator calls for market review
24 Aug 2009
Company
Omgeo receives SEC no-action letter for Tradesuite Confirm Archive
07 Aug 2009
Company
Nasdaq OMX and Bats to stop offering flash order types
06 Aug 2009
News
Direct Edge CEO hits back over flash orders
04 Aug 2009
News
FSA looks into high-frequency trading and dark pools
27 Jul 2009
News
US senator calls for 'flash' orders ban
24 Jul 2009
Company
SEC OKs ICE Clear and Eurex for CDS clearing
16 Jul 2009
Company
SEC charges 11 with insider trading
14 Jul 2009
News
Prosper resumes lending, again
19 Jun 2009
News
SEC bids to shed light on dark pools
20 May 2009
Company
Morningstar named data provider to Nasdaq OMX Listing Qualification group
13 May 2009
News
Prosper shuts down again
06 May 2009
Company
Merrill and Mobular team on SEC summary prospectus regulations offering
05 May 2009
News
Diebold pays $25m to settle SEC charges as Q1 profit tumbles
01 May 2009
Company
SEC embarks on risk recruitment drive
09 Apr 2009
Company
Nasdaq OMX positive on SEC meeting on short selling
02 Apr 2009
Company
Direct Edge files short sale comment letter with SEC
25 Mar 2009
Company
US exchanges call for modified uptick rule
19 Mar 2009
Company
Edgar Online and Accelerize New Media partner on XBRL-tagged financials and alerts
19 Mar 2009
Company
SEC approves Nyse Alternext US name change to Nyse Amex
16 Mar 2009
Company
CME Group gets SEC green light for CDS clearing
11 Mar 2009
Company
Merrill pays $7m to settle squawk box case
09 Mar 2009
Company
Finra proposes Trace reporting expansion
09 Mar 2009
Company
ICE receives SEC approval for CDS clearing
05 Mar 2009
Company
SEC charges 14 firms with unlawful proprietary trading
04 Mar 2009
News
SEC warns investors on government imposters
06 Feb 2009
News
Wall Street M&A advisors charged over insider trading
21 Jan 2009
Company
DTCC looks to extend risk management services for government securities markets to non-US firms
05 Jan 2009
News
E*Trade units fined $1m over AML failings
19 Dec 2008
Company
SEC approves interactive data for financial reporting by public companies, mutual funds
18 Dec 2008
Company
XBRL International backs SEC stance on XML reporting standards
12 Dec 2008
Company
Ex-Fidelity employees to pay $1m to settle SEC charges
10 Dec 2008
Company
SEC names Charles Boucher CIO
28 Nov 2008
News
Loanio stops taking new loans as SEC outlines reasons for P2P lending freeze
24 Nov 2008
Company
XBRL International backs SEC on roadmap to IFRS framework
19 Nov 2008
Company
SEC charges four with overvaluing BMO portfolio
10 Nov 2008
Company
FSA calls for international cooperation to tackle boiler room fraud
07 Nov 2008
Company
Nasdaq backs SEC on securities symbol selection plan
17 Oct 2008
News
Prosper stops taking new loans
14 Oct 2008
Company
Lending Club gets SEC registration
07 Oct 2008
Company
SEC names Eastman chief counsel and associate director, trading and markets
26 Aug 2008
Company
SEC signs mutual recognition agreement with Australian regulator
20 Aug 2008
Company
SEC announces successor to Edgar database
19 Aug 2008
News
Bats secures exchange status
08 Aug 2008
News
SEC launches AML site for mutual funds
30 Jul 2008
News
E*Trade pays $1m to settle SEC AML charge
14 Jul 2008
Company
Sifma slams SEC on market data fees
14 Jul 2008
Company
Securities regulators to probe price manipulation
09 Jul 2008
Company
NewRiver upgrades SEC-compliant document warehouse
02 Jul 2008
Company
Corey Booth steps down as SEC CIO
02 Jul 2008
Company
SEC adds Daniel Gallagher to trading and markets team
23 Jun 2008
Company
Lending Club files for registration with SEC
03 Jun 2008
Company
DTCC gets SEC greenlight for alternative investment products services