01 August 2014

Latest articles for Securities and Exchange Commission (SEC)

 

SEC rules benefit dark pools over lit markets - CMCRC

29 July 2014  |  768 views  |  0 Company announcement

The Capital Markets Cooperative Research Centre (CMCRC) have published a new paper finding that SEC trading rules may be providing dark venues a regulatory advantage over traditional stock exchanges.

 

Citi penalised for ATS subscriber data fail

25 July 2014  |  1421 views  |  0 Company announcement

The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to protect the confidential trading data of its subscribers.

 

SEC orders tick-size pilot plan

26 June 2014  |  1606 views  |  0 Company announcement

The Securities and Exchange Commission today announced that it has ordered the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to act jointly to develop and file with the Commission a national market system plan to implement a targeted 12 month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain small capitalization stocks.

 

IEX hires former SEC man John Ramsay

17 June 2014  |  525 views  |  0 Company announcement

IEX today announced that John Ramsay, until recently the Acting Director of the Securities and Exchange Commission's Division of Trading and Markets, is joining the company as its Chief Market Policy and Regulatory Officer.

 

Liquidnet fined $2m for misusing dark pool subscriber data

09 June 2014  |  3811 views  |  1 News

Dark pool operator Liquidnet has agreed to pay $2 million to settle SEC charges that it improperly used confidential trading data from its subscribers.

 

SEC chair sets out HFT and dark pool proposals

06 June 2014  |  3346 views  |  0 News

US Securities and Exchange Commission chair Mary Jo White has laid out her plans to rein in high-frequency traders and improve oversight of dark pools.

 

SEC issues alert on bitcoin risks

08 May 2014  |  4084 views  |  0 News

The US Securities and Exchange Commission (SEC) is warning investors that getting involved in bitcoin is a risky business that could leave them open to fraud.

 

Watchdog criticises SEC cybersecurity

22 April 2014  |  2614 views  |  0 News

The Securities and Exchange Commission has been criticised by a US congressional watchdog over cybersecurity weaknesses, including the failure to authenticate users and encrypt sensitive data.

 

SEC to conduct market-wide cyber-security checks

16 April 2014  |  3670 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  |  708 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.

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