S&P Global division pays $20 million penalty to SEC
S&P Global Ratings’ settlement with the US Securities and Exchange Commission (SEC) specifically resolves violations of recordkeeping rules.
Tag: Securities Exchange Commission
Top broker-dealers charged with millions in recordkeeping failures
The US Securities and Exchange Commission has charged 26 firms a combined total of almost $400 million; three firms will pay reduced penalties following self-reporting.
ICE issued $10 million penalty by SEC while New York Stock Exchange and others are charged
Intercontinental Exchange (ICE) has received a $10 million dollar penalty while it and nine of its affiliates have been charged with failing to inform the US Securities and Exchange Commission (SEC) of a cyber intrusion.
Majority of prop trading firms obliged to join FINRA under expanded SEC rule
Potentially dozens of broker-dealers are set to be affected by the ruling; market opinion divided on decision.
NASDAQ’s Greifeld takes aim at SEC over IEX approval
CEO says SEC did not carry out responsibility, as the exchange launches extended life orders in response to IEX’s speed bumps.
NASDAQ, NYSE and Bats team up to take on SEC
The Exchanges have been working together on initiatives aimed at improving LULD and trading pause rules from the SEC.