01 February 2015

Latest articles for Securities and Exchange Commission (SEC)

 

UBS fined over dark pool operations

15 January 2015  |  3173 views  |  0 Company announcement

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.

 

SEC bids to boost transparency with new swap reporting rules

15 January 2015  |  2536 views  |  0 Company announcement

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.

 

SEC names new equity market structure advisory committee

14 January 2015  |  960 views  |  0 Company announcement

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.

 

SEC to take enforcement action against legacy Direct Edge exchanges

13 January 2015  |  1073 views  |  0 Company announcement

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 pens open letter to SEC proposing tiered market access fees

07 January 2015  |  1196 views  |  0 Company announcement

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.

 

SEC fines bitcoin exchange operator

08 December 2014  |  1557 views  |  0 Company announcement

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.

 

SEC strengthens exchange technology rules

19 November 2014  |  4749 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  |  1119 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  |  3248 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  |  6011 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.

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