Pamela Dyson will join the Federal Reserve Bank of New York next month as chief information officer.
Citi Match users were misled about HFTs operating in the dark pool for more than two years, according to the SEC.
Formerly Convergex, Cowen Execution Services submitted incomplete data due to coding errors, according to the SEC.
FINRA has fined Interactive Brokers for failing to comply with short selling rules between 2012 and 2015.
The US regulator says that Citi traders mismarked illiquid positions in proprietary accounts they managed, leading to $81 million loss.
Nasdaq and FINRA will increase reporting fees as costs of operating its trade reporting facility have risen 16% since 2012.
Derivatives rules first introduced in December 2015 have come up on the SEC’s spring 2018 regulatory agenda, with a recommendation the rules be revisited.
ITG said in its second quarter earnings report that the SEC is investigating POSIT and could hand the broker a $12 million fine.
Bitcoin ETF proposal by crypto exchange Gemini has been rejected by the Securities and Exchange Commission in the US.
SEC approves amendment which will require dark operators to disclose information for greater transparency and regulatory oversight.