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SEC

SEC

SEC Adopts Rules to Increase Transparency in Security-Based Swap Market

15/01/2015(0)
The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and ... Read More
SEC

SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

13/01/2015(0)
The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 ... Read More
SEC

SEC eyes transfer agents in new front against U.S. stock fraudsters

12/01/2015(0)
In their battle to root out microcap stock fraudsters, U.S. securities regulators are turning their attention to the obscure world of transfer agents, who are sometimes in a position ... Read More
SEC

Sec charges Investment firm and former CEO

23/12/2014(0)
The Securities and Exchange Commission today announced that investment management firm F-Squared Investments has agreed to pay $35 million and admit wrongdoing to settle charges that it defrauded investors ... Read More
audit

Hong Kong-based audit firm and two accountants charged by SEC

18/12/2014(0)
The Securities and Exchange Commission imposed sanctions against a Hong Kong-based audit firm and two accountants for failing to properly audit year-end financial statements of a company that the SEC ... Read More
SEC

SEC Penalizes Morgan Stanley for Violating Market Access Rule

11/12/2014(0)
The Securities and Exchange Commission today penalized Morgan Stanley & Co. LLC for violating the market access rule when it failed to uphold credit limits for a customer firm ... Read More
SEC

SEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations

09/12/2014(0)
The Securities and Exchange Commission today sanctioned a computer programmer for operating two online venues that traded securities using virtual currencies Bitcoin or Litecoin without registering the venues as ... Read More
SEC

SEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules

09/12/2014(0)
The Securities and Exchange Commission today sanctioned eight firms for violating auditor independence rules when they prepared the financial statements of brokerage firms that were their audit clients. SEC ... Read More
SEC

SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients

26/11/2014(0)
The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to register with the SEC before providing cross-border brokerage and ... Read More
SEC

SEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price

24/11/2014(0)
The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and misleading press releases while secretly selling thousands of their ... Read More
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