Deutsche Bank failed to safeguard research and provide internal communications to US regulator during investigation.
Tag: Securities and Exchange Commission
US regulator found ex-Credit Suisse COO had pressured employees to misrepresent metrics.
Bats has urged the SEC to reject Nasdaq’s data feed proposal, claiming it is technically unnecessary, anti-competitive and unfounded.
Head trader in RMBS at Goldman Sachs found to have misled clients over pricing and is fined $400,000.
NYSE petition sees SEC approve ‘simplification’ of ETF listing process.
The SEC has fined Citigroup for submitting incomplete bluesheets, due to technological errors.
Nasdaq threatened legal action earlier this year, and is now looking into options following controversial IEX decision.