01 December 2015

Latest articles for Securities and Exchange Commission (SEC)


Goldman Sachs compliance staffer charged with insider trading

26 November 2015  |  3643 views  |  0 News

A former Goldman Sachs staffer has been charged by the Securities and Exchange Commission with making nearly half a million dollars by stealing non-public information from the bank's email system and using it to make illegal trades ahead of client mergers.


SEC proposes rules to enhance transparency and oversight of alternative trading systems

19 November 2015  |  1107 views  |  0 Company announcement

The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities exchange (NMS stocks), including “dark pools.”


SEC flash crash exec joins Ernst & Young

06 October 2015  |  1936 views  |  0 Company announcement

EY announced today that Gregg Berman, formerly of the US Securities and Exchange Commission (SEC) Trading and Markets Division, has joined the Financial Services Organization (FSO) of Ernst & Young LLP as a Principal focusing on market risk and data analytics.


SEC expands use of Palantir big data software to catch insider traders - Reuters

01 October 2015  |  5437 views  |  0 News

The Securities and Exchange Commission has struck a five year, $90 million contract with big data outfit Palantir Technologies to help it sniff out insider trading, according to Reuters.


SEC reaches $30m settlement over press release hacking case

16 September 2015  |  4581 views  |  0 News

A Ukrainian investment banking firm and its CEO have agreed to pay $30 million to settle SEC charges that they profited from trading on information hacked from newswire services.


SEC fines Citigroup for compliance and surveillance failures

19 August 2015  |  2514 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  |  3151 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  |  4081 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  |  4853 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  |  3006 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.

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