384 results about this entity
Period: 18 Oct 2004 - 04 Aug 2025
News
The Securities and Exchange Commission has voted to approve a proposal requiring national securities exchange to establish a consolidated audit trail of all stocks traded in US markets from order through to execution.
27 May 2010
The Securities and Exchange Commission (SEC) has called for uniform circuit breakers on all S&P 500 stocks in response to the "flash crash" that caused mayhem earlier this month.
19 May 2010
Curbs on high speed trading in US markets appear inevitable as policymakers pore over the sequence of events that led to the dizzying plunge in the Dow Jones Industrial Average last week.
12 May 2010
The SEC has summoned exchange bosses to Washington for talks on how to prevent a repeat of Thursday's plunge in stock prices when the Dow Jones Industrial Average shipped more than 1000 points.
10 May 2010
An internal investigation by the Securities and Exchange Commission (SEC) has found 33 employees viewed porn on agency computers over the past five years, with the worst excesses occurring during the height of the financial crisis.
26 April 2010
The US Securities and Exchange Commission is to formally propose a new rule that would require bulge bracket trading firms to register their identities and disclose their trades to market authorities.
14 April 2010
The US Securities and Exchange Commission is considering the electronic tagging of trades conducted by automated trading shops in an effort to keep tabs on the activities of high-frequency traders.
07 April 2010
The US Securities and Exchange Commission is to build a new 'state-of-the-art IT Forensics Lab' after admitting that successive technology budget cuts between 2005 and 2007 severely constrained its ability to effectively police the markets.
18 March 2010
The US Securities and Exchange Commission has proposed new rules prohibiting broker-dealers from providing customers with unfiltered or naked access to an exchange or ATS. The watchdog has also called for comment on issues relating to high-frequency trading, co-locating trading terminals and dark pool trading as it seeks to re-write the rule-book for a new era of computer-driven trading.
14 January 2010
A former Perot Systems employee accused of insider trading by the US Securities and Exchange Commission (SEC), has agreed to return $8.6 million in 'illicit profits'.
06 January 2010
Interdealer broker Icap is to pay $25 million in settlement to the US Securities and Exchange Commission over charges that it displayed fake trades on its screens to encourage customer dealing.
21 December 2009
The Securities and Exchange Commission (SEC) has filed fraud charges against Canopy Financial, a provider of healthcare banking technology, and frozen the assets of its co-founder who allegedly provided investors with forged financial statements to lure them into a $75 million investment scheme.
03 December 2009
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