26 February 2017
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Latest articles for Securities and Exchange Commission (SEC)

 

US SROs pick Thesys to build massive audit trail

18 January 2017  |  5152 views  |  0 News

Thesys Technologies has won the bidding to build a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets.

 

MPI wins mutual fund surveillance contract from SEC

16 November 2016  |  1585 views  |  0 Company announcement

Markov Processes International, Inc., (MPI), a global FinTech provider, today announced that it has been awarded a contract by the U.S. Securities & Exchange Commission (SEC).

 

SEC pushes through plans to build giant audit trail

16 November 2016  |  3711 views  |  1 News

The Securities and Exchange Commission has approved plans to create a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets.

 

SEC chair Mary Jo White to step down

15 November 2016  |  1349 views  |  0 Company announcement

SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration.

 

Opening Remarks from SEC chair Mary Jo White at fintech forum

14 November 2016  |  3548 views  |  1 Company announcement

I want to welcome all of you to the SEC’s first Fintech Forum — both those of you in the auditorium in Washington and those watching online.

 

SEC amends rules to enable T+2

29 September 2016  |  1613 views  |  0 Company announcement

The Securities and Exchange Commission today voted to propose a rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions from three business days after the trade date (T+3) to two business days after the trade date (T+2).

 

SEC to host public fintech forum

29 September 2016  |  4979 views  |  0 News

The Securities and Exchange Commission is to host a public forum to discuss fintech innovation in the financial services industry.

 

Merrill Lynch pays $12.5m fine over mini-flash crashes

26 September 2016  |  4285 views  |  0 News

The Securities and Exchange Commission has fined Merrill Lynch $12.5 million for ineffective trading controls which led to a series of "mini-flash crashes".

 

SEC amends investment advisor rulebook

29 August 2016  |  2544 views  |  0 Company announcement

The Securities and Exchange Commission today adopted amendments to several Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers.

 

Computer coding error costs Citigroup $7 million

14 July 2016  |  5388 views  |  0 News

The US Securities and Exchange Commission has slapped a $7 million fine on Citigroup to settle charges that a computer coding error caused the firm to provide the agency with incomplete 'blue sheet' information about trades it executed.

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