Citi and Morgan Stanley fined $6m for ‘misleading’ FX trading programme
CitiFX Alpha trading programme misinformed investors about risk and cots of being a part of the group.
CitiFX Alpha trading programme misinformed investors about risk and cots of being a part of the group.
Broker failed to ensure receipts were backed by foreign shares.
Donald Trump has nominated Jay Clayton as chair at the SEC.
New Jersey based traders charged after manipulating over 2,000 traded stocks.
Andrew Ceresney announces departure from US regulator by the end of this year.
SEC finds Pimco misled investors about long-term impact of fund strategy.
SEC’s equity market structure advisory committee voted on changes earlier this week.
Recent filing to SEC proposes more powers for exchange to continue operating during disaster recovery periods.
Virtu Financial describes the ETF market as ‘an area that deserves a closer look’ in letter to US regulator.
FINRA looks to SEC for more authority to stop spoofing and layering quickly.