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.
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).
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, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration.
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.
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).
The Securities and Exchange Commission is to host a public forum to discuss fintech innovation in the financial services industry.
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".
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.
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.
© Finextra Research 2017