20 April 2014

Latest articles for Securities and Exchange Commission (SEC)


SEC to conduct market-wide cyber-security checks

16 April 2014  |  2046 views  |  0 News

The Securities and Exchange Commission is to conduct checks on more than 50 registered broker-dealers and investment advisors to assess their ability to counteract cyber-security threats.


Jefferies pays $25 million to settle SEC charges on MBS trades

13 March 2014  |  591 views  |  0 Company announcement

The Securities and Exchange Commission today charged global investment bank and brokerage firm Jefferies LLC with failing to supervise employees on its mortgage-backed securities desk who were lying to customers about pricing.


SEC proposes tough new standards for systemically important clearing agencies

13 March 2014  |  570 views  |  0 Company announcement

The Securities and Exchange Commission voted today to propose new rules to enhance the oversight of clearing agencies that are deemed to be systemically important or that are involved in complex transactions, such as security-based swaps.


SEC to hold cybersecurity roundtable

18 February 2014  |  483 views  |  0 Company announcement

The Securities and Exchange Commission today announced that it will host a roundtable next month to discuss cybersecurity and the issues and challenges it raises for market participants and public companies, and how they are addressing those concerns.


SEC gives green-light to Bats-Direct Edge merger

31 January 2014  |  715 views  |  0 Company announcement

Bats Global Markets, (Bats) and Direct Edge Holdings LLC (Direct Edge) today announced the receipt of Securities and Exchange Commission (SEC) approval for their merger and expect to close the transaction within days.


Scottrade agrees to pay $2.5 million over flawed blue sheet trading data

30 January 2014  |  542 views  |  0 Company announcement

The Securities and Exchange Commission today charged Scottrade with failing to provide the agency with complete and accurate information about trades done by the firm and its customers, which is commonly called "blue sheet" data.


ConvergEx pays $150 million to settle fraud charges

19 December 2013  |  2345 views  |  0 News

Transaction brokerage ConvergEx has agreed to pay $150 million to settle charges that it deceived institutional clients into paying substantially higher amounts than disclosed for the execution of trading orders


US exchanges set out plans to tackle systems glitches

12 November 2013  |  742 views  |  0 Company announcement

Self-regulatory organizations (SROs) for the equities and options markets have been working with Securities and Exchange Commission (SEC) staff on their collective plans to strengthen the resilience, performance, disaster recovery capability and governance of the critical infrastructure of the US capital markets, including the Securities Information Processors (UTP, CTA and OPRA).


Diebold pays $48m to settle bank bribery charges

23 October 2013  |  2668 views  |  0 News

US ATM manufacturer Diebold has agreed to pay $48 million to settle criminal and civil charges that it handed over millions of dollars in bribes to bank officials in China, Indonesia and Russia.


Knight Capital reaches $12m SEC settlement over IT meltdown

17 October 2013  |  3418 views  |  1 News

Knight Capital has reached a $12 million settlement with US regulators over a technology meltdown which caused market chaos and drove the firm to the brink of bankruptcy.

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