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

13 Sep 2013
News
US exchanges to deploy 'kill switches' in the wake of Nasdaq fall-over
23 Aug 2013
News
SEC promises swift action after trading glitch hits Nasdaq OMX
19 Aug 2013
Company
SEC approves ICE-Nyse Euronext deal
19 Aug 2013
Company
US regulators issue staff advisory on business continuity and disaster recovery
16 Aug 2013
Company
Michael Piwowar sworn in as SEC commissioner
24 Jul 2013
News
SEC files charges over alleged $4.5 million bitcoin Ponzi scheme
03 Jul 2013
Company
SEC boosts enforcement efforts
20 Jun 2013
Company
Gregg Berman speech: transformational technologies, market structure, and the SEC
13 Jun 2013
Company
SEC, Finra warn inestors about pump-and-dump stock spam
12 Jun 2013
Company
SEC fines CBOE $6 million for regulatory and compliance failings
30 May 2013
News
Nasdaq OMX hit with record $10m fine over Facebook IPO fiasco
02 May 2013
Company
SEC proposes rules for cross-border swaps transactions
23 Apr 2013
Company
SEC names Canellos and Ceresney co-directors, division of enforcement
12 Apr 2013
Company
SEC names Jennifer Marietta-Westberg deputy director, risk, strategy, and financial innovation
11 Apr 2013
Company
CFTC and SEC approve approve rule on identity theft
10 Apr 2013
News
US exchanges push SEC on dark pool curbs
09 Apr 2013
News
Citi files Nasdaq OMX compensation claim over Facebook IPO
09 Apr 2013
Company
Mary Jo White confirmed as new SEC chief
03 Apr 2013
News
SEC greenlights use of social media for company news
25 Mar 2013
News
SEC approves Nasdaq's Facebook IPO compensation plan
18 Mar 2013
News
SEC moves to clarify social media rules
08 Mar 2013
News
SEC sets out new tech rules
07 Mar 2013
News
Google joins bidders to build US consolidated audit trail system
06 Mar 2013
News
FBI taps SEC expertise on algo trading market manipulation
01 Feb 2013
Company
SEC names George Canellos acting director of enforcement
25 Jan 2013
Company
SEC delays ruling on Nasdaq Facebook IPO compensation
23 Jan 2013
Company
SEC appoints Vincente Martinez market intelligence chief
22 Jan 2013
Company
SEC-mandated XBRL filings at risk of obsolescence - Columbia Business School
16 Jan 2013
Company
SEC names Berman as associate director of analytics office
07 Jan 2013
Company
SEC names Geoffrey Aronow general counsel
18 Dec 2012
Company
John Ramsay named acting director of SEC trading and markets division
06 Dec 2012
Company
SEC trading and markets directors Cook moves on
04 Dec 2012
Company
Regulators bid to tackle international OTC reform arbitrage
30 Nov 2012
Company
SEC names Todd Scharf chief information security officer
26 Nov 2012
Company
SEC chair Mary Schapiro to step down next month
14 Nov 2012
Company
SEC contracts Accenture for online overhaul
01 Nov 2012
News
Sandy-hit Wall Street faces questions over contingency plans
29 Oct 2012
News
US stock markets shuttered as Hurricane Sandy approaches
23 Oct 2012
Company
SEC adopts standards for risk management and operations in CCPs
12 Oct 2012
Company
SEC appoints Pamela Dyson deputy CIO
03 Oct 2012
Company
SEC fines dark pool operator eBX for failing to protect customer data
03 Oct 2012
Company
Schapiro remarks at SEC market technology roundtable
28 Sep 2012
Company
SEC issues guidance on broker-dealer leakage of confidential company data
20 Sep 2012
News
Nasdaq OMX defends $62m Facebook compensation package
14 Sep 2012
News
SEC fines Nyse $5m for market data distribution failures
30 Aug 2012
Company
SEC sets agenda for market technology roundtable
30 Aug 2012
Company
SEC sets out agenda for Knight-inspired market tech roundtable
23 Aug 2012
News
Citi slams Nasdaq OMX over Facebook IPO compensation
09 Aug 2012
Company
In wake of Knight disaster, SEC confirms technology roundtable
06 Aug 2012
News
Knight closes in on $400m rescue deal
02 Aug 2012
News
Knight Capital blames tech glitch for stock market chaos; faces $440m pre-tax loss
17 Jul 2012
Company
STA urges SEC to pilot decimalisation programme
12 Jul 2012
News
SEC votes for consolidated audit trail system
06 Jul 2012
News
Nyse Euronext secures SEC approval for retail liquidity programme
03 Jul 2012
Company
ISE files for second exchange license
29 Jun 2012
News
SEC could make Nasdaq OMX upgrade systems over Facebook IPO - WSJ
12 Jun 2012
Company
SEC unveils derivatives rule-making roadmap
07 Jun 2012
News
Nasdaq OMX offers brokers $40m over Facebook fiasco
01 Jun 2012
Company
SEC approves new measures to address market-wide volatility
09 May 2012
Company
Thomson Reuters unveils SEC reporting system