Virtu urges SEC to further scrutinise risks of ETFs
Virtu Financial describes the ETF market as ‘an area that deserves a closer look’ in letter to US regulator.
Tag: Securities and Exchange Commission
Trading director joins White in departure from SEC
Stephen Luparello announces departure from US regulator.
SEC’s White hopes regulator will continue to be ‘aggressive’
Chair at the SEC, Mary Jo White, announced departure from position earlier this month.
SEC fines JP Morgan $264 million for ‘systematic bribery’
US watchdog determined the bank had hired children of government officials in a ‘systematic bribery scheme’.
SEC Chair Mary Jo White announces departure
Mary Jo White to leave US regulator at the end of Obama’s administration.
SEC approves FINRA’s reporting rules for US treasuries
FINRA members will be required to report on transactions in treasuries as of July 2017.
SEC slaps Deutsche Bank with $9.5m fine for research failures
Deutsche Bank failed to safeguard research and provide internal communications to US regulator during investigation.
SEC fines Credit Suisse $90m for manipulating new assets figures
US regulator found ex-Credit Suisse COO had pressured employees to misrepresent metrics.
Bats slams Nasdaq’s proposed data feed as attempt to increase revenues
Bats has urged the SEC to reject Nasdaq’s data feed proposal, claiming it is technically unnecessary, anti-competitive and unfounded.
SEC fines former trading boss at Goldman Sachs for ‘abusing his duty’
Head trader in RMBS at Goldman Sachs found to have misled clients over pricing and is fined $400,000.