Tag: Securities and Exchange Commission

Regulation May 10, 2017 7:55 AM GMT

Ex-SEC accountant pleads guilty to trading fraud

David Humphrey fined following misrepresentation of personal derivatives trading activity.

Regulation May 5, 2017 9:51 AM GMT

Jay Clayton officially sworn in as the 32nd chairman of the SEC.

ETFs February 15, 2017 5:14 AM GMT

The SEC found Morgan Stanley failed to inform investors of risks related to the trading of inverse ETFs.

Foreign Exchange January 11, 2017 5:40 AM GMT

Trading ‘Cartel’ charged with rigging FX spot market face up to 10 years in prison.

Regulation January 4, 2017 11:44 AM GMT

Donald Trump has nominated Jay Clayton as chair at the SEC.

Regulation December 13, 2016 6:46 AM GMT

New Jersey based traders charged after manipulating over 2,000 traded stocks.

Regulation December 9, 2016 4:55 AM GMT

Andrew Ceresney announces departure from US regulator by the end of this year.

Trading Venues December 5, 2016 7:20 AM GMT

Fierce competition among exchanges for data sees Nasdaq look to open up scope of data to investing public.

ETFs November 23, 2016 11:32 AM GMT

Virtu Financial describes the ETF market as ‘an area that deserves a closer look’ in letter to US regulator.

Regulation November 22, 2016 5:11 AM GMT

Stephen Luparello announces departure from US regulator.