383 results about this entity
Period: 18 Oct 2004 - 23 May 2025
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.
09 June 2014
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.
06 June 2014
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.
08 May 2014
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.
22 April 2014
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.
16 April 2014
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
19 December 2013
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.
23 October 2013
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.
17 October 2013
The Securities and Exchange Commission is launching a public Web site packed with reams of the kind of data, research and analysis used by HFT traders in a bid to "transform the debate on market structure".
04 October 2013
US exchanges have agreed to implement 'kill switches' to shut down trading in the event of a technological failure.
13 September 2013
The US Securities and Exchange Commission is to convene a meeting of exchange heads and other market participants after a technical breakdown forced Nasdaq OMX to suspend trading for three hours Thursday.
23 August 2013
The Securities and Exchange Commission has charged a Texas man with running a bitcoin Ponzi scheme that raked in 700,000 bitcoins, worth $4.5 million, from unwary investors.
24 July 2013
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