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SEC

Traders work on the floor of the New York Stock Exchange shortly after the market's opening in New York

U.S Regulators may change rules for upstart trading

30/07/2014(0)
U.S regulators may relax rules that require the fastest possible execution of securities trades, potentially helping upstart trading venue IEX Group’s plans to become a full-fledged stock exchange. IEX, ... Read More
SEC- Headquarters

SEC set to end $1 a share for some money funds

23/07/2014(0)
Regulators are expected to vote Wednesday to end a longtime staple of the investment industry — the fixed $1 share price for money-market mutual funds — at least for ... Read More
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SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases

22/07/2014(0)
The Securities and Exchange Commission today charged a partner at a New York-based investor relations firm with insider trading on confidential information he learned about two clients while he ... Read More
sec

SEC targets 10 firms in high frequency trading probe – SEC document

18/07/2014(0)
The U.S. Securities and Exchange Commission (SEC) has been seeking information on 10 registered broker dealers as part of an ongoing investigation into high-frequency trading strategies, according to an ... Read More
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SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company

17/07/2014(0)
The Securities and Exchange Commission has announced fraud charges against four individuals and a microcap company for concealing from investors that two lawbreakers ran the company. According to the ... Read More
Ernst-Young-EY

Ernst & Young settles SEC accusations for $4 million

15/07/2014(0)
Ernst & Young agreed to pay $4 million to settle charges that it compromised its independence. Ernst & Young has agreed to pay $4 million to settle charges by ... Read More
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SEC readies new rules for money funds

10/07/2014(0)
The Securities and Exchange Commission (SEC) may soon roll out new regulations for money market mutual funds, at least those used by institutional investors. The rules would abolish the ... Read More
state street

State Street Agrees to Settle Forex Fee Suit for $60 Mln

10/07/2014(0)
State Street Corp. (STT) agreed to pay $60 million to settle investor claims it inflated revenue by overcharging clients for foreign-exchange services, in a pact that resolves almost four ... Read More
Carter's clothes hang on a store rack in New York

Ex-Carter’s executives, NY fund manager get prison for insider trading

09/07/2014(0)
Two former executives at Carter’s Inc (CRI.N) and a New York hedge fund manager received prison sentences on Tuesday for engaging in an insider trading conspiracy involving the children’s ... Read More
14June_SEC_p36

SEC charges five traders for short selling violations

03/07/2014(0)
The Securities and Exchange Commission (SEC) has charged five traders for committing short selling violations while trading for themselves and Worldwide Capital Inc., a Long Island, N.Y.-based proprietary firm ... Read More
Broker Cyprus TopFX