27 May 2017
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Latest articles for Securities and Exchange Commission (SEC)

 

Chinese hackers made $3 million trading on confidential M&A data swiped from corporate lawyers

12 May 2017  |  6515 views  |  0 News

Three Chinese citizens who traded on insider information by hacking into the systems of two New York-based law firms have been fined $8.8 million by the Securities and Exchange Commission.

 

DTCC repo clearing service gets regulatory approval

02 May 2017  |  2685 views  |  0 Company announcement

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that the Securities and Exchange Commission (SEC) has approved rule changes allowing its Fixed Income Clearing Corporation (FICC) subsidiary to expand the availability of central clearing in the repo market, strengthening both the safety and efficiency of the marketplace.

 

SEC issues fake news crackdown

11 April 2017  |  3788 views  |  1 News

The US securities watchdog has issued a series of fines and penalties to individuals and entities for submitting hundreds of articles to financial websites which purported to be impartial endorsements of certain companies but which were secretly paid-for

 

SEC adopts T+2 settlement cycle for securities transactions

22 March 2017  |  2504 views  |  0 Company announcement

The Securities and Exchange Commission today adopted an amendment to shorten by one business day the standard settlement cycle for most broker-dealer securities transactions.

 

US SROs pick Thesys to build massive audit trail

18 January 2017  |  5776 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  |  1709 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  |  4082 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  |  1439 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  |  3744 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  |  1728 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).

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