Head trader in RMBS at Goldman Sachs found to have misled clients over pricing and is fined $400,000.
CEO says SEC did not carry out responsibility, as the exchange launches extended life orders in response to IEX’s speed bumps.
The Exchanges have been working together on initiatives aimed at improving LULD and trading pause rules from the SEC.
William Donaldson, former CEO at NYSE and chairman at the SEC has joined the board of directors at IEX.
The US Securities Exchange Commission (SEC) has rubber-stamped a change to clock synchronisation standards to stamp out market abuse and spoofing.
Former executives caught reaping millions of dollars of illicit profits from bank’s transition management business.
Credit Suisse and Barclays to pay over $150 million in fines over dark pool charges, in largest ever penalty imposed by the SEC.
US asset managers warn against imposing overly strict rules on liquidity measurement.
SEC study into August market volatility finds opening procedures and trading regulations exacerbated the situation.
US regulator proposes new rules to increase dark pool transparency and protect investors.