05 September 2015

Latest articles for Securities and Exchange Commission (SEC)


SEC fines Citigroup for compliance and surveillance failures

19 August 2015  |  2256 views  |  0 Company announcement

The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to settle charges that it failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, nonpublic information.


ITG pays $20.3m to settle SEC dark pool charges

12 August 2015  |  2770 views  |  0 News

Execution broker ITG and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle SEC charges that they operated a secret dealing desk and misused the confidential trading information of dark pool subscribers.


US charges nine over insider trading hacking scheme

11 August 2015  |  3645 views  |  0 News

US authorities have charged nine people with hacking into business newswires to steal yet-to-be published press releases containing financial information that was used to make trades netting around $30 million in illegal profits.


Big data firm Palantir raises $450m

24 July 2015  |  4455 views  |  1 News

Palantir Technologies, a big data startup co-founded by Peter Thiel, has completed a massive $450 million funding round that values the company at $20 billion.


Nasdaq and Nyse propose mutual back-up plan

23 July 2015  |  2746 views  |  0 News

Two rival exchanges, the New York Stock Exchange (Nyse) and Nasdaq OMX, are planning to provide back-up to each other's closing auctions in order to prevent a repeat of the outage that hit Nyse earlier this month.


Kx Systems wins SEC contract

07 July 2015  |  1199 views  |  0 Company announcement

Kx Systems, a leader in high-performance database and time-series analytics, has announced that it has been awarded a contract by the U.S. Securities and Exchange Commission (SEC) for use of its kdb+ software in supporting its ongoing IT objectives.


SEC commissioner calls for Reg SCI scope to be widened

26 June 2015  |  3677 views  |  0 News

An SEC commissioner has called on the regulator to massively expand the scope of recently introduced rules designed to strengthen the US market's technology infrastructure and protect it from cyber attacks.


SEC approves pilot to assess tick size for smaller companies

07 May 2015  |  1445 views  |  0 Company announcement

The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or tick sizes–for stocks of some smaller companies.


SEC names Pamela C. Dyson CIO

13 February 2015  |  2249 views  |  0 Company announcement

The Securities and Exchange Commission today announced that Pamela C. Dyson has been appointed as the SEC's Chief Information Officer (CIO) in charge of overseeing the agency's information technology functions.


Bats files petition with SEC for rulemaking on market stucture reform

04 February 2015  |  1235 views  |  0 Company announcement

BATS Global Markets (BATS) formally filed a petition for rulemaking on market structure reform with the Securities and Exchange Commission (SEC) and issued a call-to-action to the industry, urging participants to engage in a constructive dialogue to improve the already healthy U.S. equity market for all investors.

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