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SEC

Securities Exchange Commission

U.S. Securities and Exchange Commission to Host Public Fintech Forum

28/09/2016(0)
In an announcement today, the Securities and Exchange Commission said it will host a public forum to discuss Fintech innovation at its Washington D.C. headquarters in November. The Securities ... Read More
Securities Exchange Commission

Oil Services Company Paying $140 Million Penalty for Accounting Fraud

28/09/2016(0)
The Securities and Exchange Commission today announced that oil services company Weatherford International has agreed to pay a $140 million penalty to settle charges that it inflated earnings by ... Read More
Securities Exchange Commission

Merrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes

27/09/2016(0)
The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $12.5 million penalty for maintaining ineffective trading controls that failed to prevent erroneous orders ... Read More
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Accounting software maker prepares for IPO

21/09/2016(0)
Accounting software maker BlackLine Inc is preparing for an initial public offering that could value it at more than $1 billion, including debt, people familiar with the matter said ... Read More
Securities Exchange Commission

“Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges

15/09/2016(0)
The Securities and Exchange Commission today announced that a self-proclaimed “stock trading whiz kid” and his stock newsletter company in Los Angeles have agreed to pay nearly $1.5 million ... Read More
Securities Exchange Commission

BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme

12/09/2016(0)
The Securities and Exchange Commission today announced that a subsidiary of Oklahoma-based BOK Financial Corporation has agreed to pay more than $1.6 million to settle charges that it concealed ... Read More
Securities Exchange Commission

Two investment firms charged with compliance failures

09/09/2016(0)
The Securities and Exchange Commission announced that two investment advisory firms are settling charges related to compliance failures within their wrap fee programs. SEC investigations found that St. Petersburg, Fla.-based ... Read More
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keza app relaunched enabling bitcoin investing in us stocks

31/08/2016(0)
Satoshi Citadel Industries (SCI) has acquired the bitcoin-powered Keza app which allows users to invest in mainstream U.S. stocks, and has relaunched it. The Keza app closed in April shortly after ... Read More
Securities Exchange Commission

SEC Whistleblower Program Surpasses $100 Million in Awards

31/08/2016(0)
The Securities and Exchange Commission’s awards to whistleblowers have surpassed the $100 million mark with the program’s second-largest award of more than $22 million announced earlier today. The whistleblower program was ... Read More
Securities Exchange Commission

SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositories

30/08/2016(0)
The Securities and Exchange Commission today adopted amendments to a rule that would require security-based swap data repositories to make data available to regulators and other authorities, allowing them ... Read More
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