30 June 2015

Latest articles for Securities and Exchange Commission (SEC)

 

SEC commissioner calls for Reg SCI scope to be widened

26 June 2015  |  2502 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  |  1313 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  |  2162 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  |  1171 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.

 

SEC warns of cybersecurity risks to online investment accounts

03 February 2015  |  2802 views  |  0 Company announcement

The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to protect their online investment accounts.

 

UBS fined over dark pool operations

15 January 2015  |  3620 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  |  2740 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  |  1120 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  |  1240 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  |  1409 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.

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