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.
Tag: Securities and Exchange Commission
Victory for NYSE as SEC streamlines ETF listing process
NYSE petition sees SEC approve ‘simplification’ of ETF listing process.
Poor technology costs Citigroup $7m with SEC fine
The SEC has fined Citigroup for submitting incomplete bluesheets, due to technological errors.
Nasdaq ‘assessing options’ following IEX decision
Nasdaq threatened legal action earlier this year, and is now looking into options following controversial IEX decision.