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.
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.
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.
The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange.
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.
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.
After its CEO was forced out over a loans sale scandal, Lending Club says that it is being investigated by the US Justice Department and admitted that investors are pulling back from debt purchases.
The Securities and Exchange Commission (SEC) has set out plans to build a database, called the consolidated audit trail (CAT), which will help regulators track all trading activity in the US equity and options market.
The founder of market data outfit Nanex says that he has been awarded $750,000 for a whistleblowing tip that resulted in the New York Stock Exchange getting slapped with a $5 million SEC fine.
© Finextra Research 2016