30 September 2016
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Latest articles for Securities and Exchange Commission (SEC)

 

SEC amends rules to enable T+2

14 hours ago  |  1114 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  |  3191 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  |  3240 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  |  2351 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  |  4863 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.

 

SolidX files to list Bitcoin ETF

12 July 2016  |  3253 views  |  0 Company announcement

SolidX Partners Inc., an innovative blockchain technology company, today announced that it has filed a registration statement on Form S-1 with the Securities and Exchange Commission relating to the proposed launch of the SolidX Bitcoin Trust, which will seek to provide shareholders with exposure the daily change in the U.S. dollar price of bitcoin, before expenses and liabilities of the Trust, as measured by the TradeBlock XBX Index.

 

SEC freezes assets of UK-based trader over alleged hacking

23 June 2016  |  1801 views  |  0 Company announcement

The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online brokerage accounts of U.S. investors to make unauthorized stock trades that allowed him to profit on trades in his own account.

 

SEC approves IEX exchange status

20 June 2016  |  2090 views  |  0 Company announcement

The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange.

 

Morgan Stanley hit with $1m SEC fine over customer data hack

09 June 2016  |  5441 views  |  1 News

Morgan Stanley will pay a $1 million penalty to settle SEC charges related to data protection failures which saw a former staffer transfer account data to his personal server, which was then hacked.

 

SEC bills cyber threats as biggest risk to financial markets

18 May 2016  |  4379 views  |  0 News

As the world's banks scramble to shore up security in their connections to the Swift interbank payments network, US Securities and Exchanges Commission chair Mary Jo White has described cyber hacking as the biggest risk facing the world's financial markets.

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