The Securities and Exchange Commission yesterday announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.
SS&C Technologies Holdings, Inc. (Nasdaq:SSNC), a global provider of financial services software and software-enabled services, today announced it has received approval from the Securities and Exchange Commission (SEC) to bring its disruptive cloud-based, post-trade matching service, SSCNet to the U.S. market.
The Securities and Exchange Commission today charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that used the lure of quick riches from virtual currency to defraud investors.
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.
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.”
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.
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.
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.
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.
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.
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