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Latest news and analysis on Securities and Exchange Commission (SEC) (609 items)

23 Jun 2016
Company
SEC freezes assets of UK-based trader over alleged hacking
20 Jun 2016
Company
SEC approves IEX exchange status
09 Jun 2016
News
Morgan Stanley hit with $1m SEC fine over customer data hack
18 May 2016
News
SEC bills cyber threats as biggest risk to financial markets
17 May 2016
News
Lending Club faces Justice Department probe
28 Apr 2016
News
SEC sets out details for consolidated audit trail database
03 Mar 2016
News
Whistleblower says SEC awarded him $750,000 for Nyse tip
01 Feb 2016
Company
SEC reaches dark pool settlements with Barclays and Credit Suisse
10 Dec 2015
Company
SS&C gets SEC approval for SSCNet
02 Dec 2015
Company
SEC charges bitcoin mining companies
26 Nov 2015
News
Goldman Sachs compliance staffer charged with insider trading
19 Nov 2015
Company
SEC proposes rules to enhance transparency and oversight of alternative trading systems
06 Oct 2015
Company
SEC flash crash exec joins Ernst & Young
01 Oct 2015
News
SEC expands use of Palantir big data software to catch insider traders - Reuters
16 Sep 2015
News
SEC reaches $30m settlement over press release hacking case
19 Aug 2015
Company
SEC fines Citigroup for compliance and surveillance failures
12 Aug 2015
News
ITG pays $20.3m to settle SEC dark pool charges
11 Aug 2015
News
US charges nine over insider trading hacking scheme
24 Jul 2015
News
Big data firm Palantir raises $450m
23 Jul 2015
News
Nasdaq and Nyse propose mutual back-up plan
07 Jul 2015
Company
Kx Systems wins SEC contract
26 Jun 2015
News
SEC commissioner calls for Reg SCI scope to be widened
07 May 2015
Company
SEC approves pilot to assess tick size for smaller companies
13 Feb 2015
Company
SEC names Pamela C. Dyson CIO
04 Feb 2015
Company
Bats files petition with SEC for rulemaking on market stucture reform
03 Feb 2015
Company
SEC warns of cybersecurity risks to online investment accounts
15 Jan 2015
Company
UBS fined over dark pool operations
15 Jan 2015
Company
SEC bids to boost transparency with new swap reporting rules
14 Jan 2015
Company
SEC names new equity market structure advisory committee
13 Jan 2015
Company
SEC to take enforcement action against legacy Direct Edge exchanges
07 Jan 2015
Company
Bats pens open letter to SEC proposing tiered market access fees
08 Dec 2014
Company
SEC fines bitcoin exchange operator
19 Nov 2014
News
SEC strengthens exchange technology rules
13 Nov 2014
Company
SEC files charges against Indian-based operators of social media-led high-yield investment scheme
07 Nov 2014
Company
SEC releases guidance on market manipulation through social media rumours
28 Oct 2014
News
Former SEC chairman Levitt becomes advisor to bitcoin firms
24 Sep 2014
Company
SEC fines BarCap $15 million for systemic compliance failures after Lehman acquisition
23 Sep 2014
Company
SmartStream wins contract from SEC to deploy Ocie with TLM reconciliation tech
12 Sep 2014
Company
SEC creates new data-driven risk assessment office
27 Aug 2014
Company
SEC preps pilot to assess tick size impact on small firms
21 Aug 2014
Company
CIO Thomas Bayer to leave SEC
29 Jul 2014
Company
SEC rules benefit dark pools over lit markets - CMCRC
25 Jul 2014
Company
Citi penalised for ATS subscriber data fail
26 Jun 2014
Company
SEC orders tick-size pilot plan
17 Jun 2014
Company
IEX hires former SEC man John Ramsay
09 Jun 2014
News
Liquidnet fined $2m for misusing dark pool subscriber data
06 Jun 2014
News
SEC chair sets out HFT and dark pool proposals
08 May 2014
News
SEC issues alert on bitcoin risks
22 Apr 2014
News
Watchdog criticises SEC cybersecurity
16 Apr 2014
News
SEC to conduct market-wide cyber-security checks
13 Mar 2014
Company
Jefferies pays $25 million to settle SEC charges on MBS trades
13 Mar 2014
Company
SEC proposes tough new standards for systemically important clearing agencies
18 Feb 2014
Company
SEC to hold cybersecurity roundtable
31 Jan 2014
Company
SEC gives green-light to Bats-Direct Edge merger
30 Jan 2014
Company
Scottrade agrees to pay $2.5 million over flawed blue sheet trading data
19 Dec 2013
News
ConvergEx pays $150 million to settle fraud charges
12 Nov 2013
Company
US exchanges set out plans to tackle systems glitches
23 Oct 2013
News
Diebold pays $48m to settle bank bribery charges
17 Oct 2013
News
Knight Capital reaches $12m SEC settlement over IT meltdown
04 Oct 2013
News
SEC preps public Web site for HFT data and research