277 Results from "Securities and Exchange Commission (SEC)"
/wholesale
American stock exchanges are shutting down today, and provisionally tomorrow, as a precaution ahead of hurricane Sandy's arrival on the east coast.
29 October 2012
Nasdaq OMX ha defended its proposed $62 million compensation offer to firms affected by the botched Facebook IPO, describing the package, in a letter to the SEC, as "fair and equitable".
20 September 2012
The Securities and Exchange Commission has fined the New York Stock Exchange $5 million for giving proprietary customers a head-start by sending them market data before it went out to the public.
14 September 2012
Citi has written to the Securities and Exchange Commission urging the regulator to dismiss Nasdaq OMX's $62 million compensation offer for its "mishandling" of the Facebook IPO.
23 August 2012
Knight Capital looks set to survive last week's costly trading technology meltdown thanks to a $400 million rescue package put together by a group of investors.
06 August 2012
Knight Capital says that a "technology issue" at its market making unit was behind the volatile price movements in 140 shares yesterday that forced Nyse Euronext to cancel trades.
02 August 2012
/regulation
The Securities and Exchange Commission (SEC) has voted to force US exchanges and Finra to build a consolidated audit trail system to monitor and analyse trading activity.
12 July 2012
The Securities and Exchange Commission (SEC) has given Nyse Euronext the green light to pilot a programme designed to attract retail investors from dark pools.
06 July 2012
Following last month's Facebook IPO fiasco, the Securities and Exchange Commission (SEC) is pondering forcing Nasdaq OMX to upgrade its trading systems, according to the Wall Street Journal.
29 June 2012
Nasdaq OMX is setting aside around $40 million to cover broker losses related to its botched handling of last month's Facebook IPO but the planned package is facing widespread criticism.
07 June 2012
The US Securities and Exchange Commission has charged twin brothers from England with using a fake "stock picking robot" to defraud around 75,000 investors out of $1.2 million.
23 April 2012
The US Securities and Exchange Commission has charged online brokerage optionsXpress, four of its employees and one customer in connection with a naked short selling scheme.
17 April 2012
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