Tag: SEC

The decision to overhaul market data feeds in the US could bring more competition to the space and decrease escalating data costs for investors. 

Jay Clayton will conclude his tenure as chairman of the SEC after more than three and a half years by the end of this year.  

A study from Market Structure Partners carried out for the European Commission has recommended the EU moves forward with plans to form a consolidated tape.

The US Department of Justice, CFTC, and SEC confirmed parallel actions against JP Morgan resulting in a record penalty for the years-long spoofing and manipulation activity.

The US financial watchdog said Interactive Brokers had failed to submit 150 suspicious activity reports over a one-year period.

UBS Financial Services will pay $10 million to the US Securities and Exchange Commission (SEC) after being accused of wrongfully allocating bonds intended for retail customers to 'flippers'.

Court of Appeals have denied the SEC’s move to stop a review of its decision on market data fee increases by NYSE and Nasdaq.

Equity exchanges in the US have been told to submit new plans for control over the controversial consolidated tape.

The SEC found that around 6.4 million client orders were routed by three unaffiliated brokers through undisclosed ‘low cost router’ arrangement at Bloomberg Tradebook.

The US watchdog has extended a delay for broker-dealers reporting to the CAT after system officially went live earlier this month.