Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

SEC

SEC

SEC Sanctions Florida-Based Auditor for Circumventing Rules

27/10/2014(0)
The Securities and Exchange Commission sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly ... Read More
SEC

SEC: Rengan Rajaratnam Settles Insider Trading Charges

24/10/2014(0)
The Securities and Exchange Commission (SEC) has announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than $840,000 and accept securities industry bars in ... Read More
Eisinger

In Turnabout, Former Regulators Assail Wall St. Watchdogs

23/10/2014(0)
When former top government officials become white-collar defense lawyers, they still wield influence when they weigh in on enforcement matters. I was attending the Securities Enforcement Forum, a gathering ... Read More
onestopbrokers-Regulators

Six Federal Agencies Jointly Approve Final Risk Retention Rule

23/10/2014(0)
Six federal agencies, namely the Board of Governors of the Federal Reserve System, the Department of Housing and Urban Development, the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency, the Office of ... Read More
sec

SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading

17/10/2014(0)
The Securities and Exchange Commission sanctioned a New York City-based high frequency trading firm for placing a large number of aggressive, rapid-fire trades in the final two seconds of ... Read More
sec

SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company

15/10/2014(0)
The Securities and Exchange Commission announced insider trading charges against a Massachusetts man who allegedly tipped his friend with nonpublic information about potential acquisition targets of the pharmaceutical company ... Read More
sec

SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks

10/10/2014(0)
The Securities and Exchange Commission announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in ... Read More
sec

SEC Members Urge Including Brokers in Trading Safeguards

06/10/2014(0)
U.S. rules meant to guard against breakdowns in automated trading systems should be expanded to include brokerages that match orders away from regulated stock exchanges, according to two Securities ... Read More
sec

SEC probing Goldman Sachs internship

19/09/2014(0)
U.S. regulators are investigating a Goldman Sachs Group Inc (GS.N) internship for the brother of a former official at Libya’s sovereign wealth fund and perks allegedly offered by the ... Read More
sec

SEC fines trading firm for violating net capital rule for broker-dealers

18/09/2014(0)
The U.S. Securities and Exchange Commission has charged a New York-based high frequency trading firm with violating the net capital rule that requires all broker-dealers to maintain minimum levels ... Read More
Broker Cyprus TopFX