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The article reports that stock-exchange operator BATS Global Markets Inc. and the U.S. Securities and Exchange Commission (SEC) are close to settling for up to $13 million charges that BATS' Direct Edge Holdings LLC unit gave some investors an advantage over others. At issue are order types accepted by Direct Edge that allow customers specify how their trades are to be transacted.

The article reports that high-frequency trading firm Latour Trading LLC agreed to pay $16 million to settle charges from the U.S. Securities and Exchange Commission (SEC) that it had violated capital rules aimed at curbing excessive risk taking. The SEC also fined a Latour employee, Nicolas Niquet, $150,000.

The article reports that stock exchange operator the New York Stock Exchange, along with affiliated exchanges and the brokerage firm Archipelago Securities LLC have agreed to pay $4.5 million to settle claims by the U.S. Securities and Exchange Commission (SEC) related to unfair treatment of investors and failure to inform the SEC of certain rules they implemented. The infractions allegedly took place between 2008 and 2012.

The article discusses the U.S. Securities and Exchange Commission's (SEC's) stern dealings with banking company J. P. Morgan Chase & Co. The SEC reportedly refused to negotiate what turned out to be a fine in excess of $920 million that Morgan agreed to pay it and other regulators in connection with a large trading loss. The SEC is also conducting a civil investigation into Morgan employees linked to that event.

The article reports that banking company J. P. Morgan Chase & Co. is expected to agree to pay $800 million or more in fines in a settlement with various regulators including the U.S. Securities and Exchange Commission and the British Financial Conduct Authority related to trading losses that exceeded $6 billion at Morgan's London, England office. Morgan, which will be cited for lax internal controls and faulty disclosure, will also admit to wrongdoing.

The article reports that exchange operator CBOE Holdings Inc. has been fined $6 million by the U.S. Securities and Exchange Commission for its alleged failure to have prevented illicit short selling. Details are presented about the transactions in question which involved broker-dealer optionsXpress Inc., one of CBOE's largest customers.

The article reports that the parent company of the New York Stock Exchange (NYSE) agreed to pay $5 million to settle claims by the U.S. Securities and Exchange Commission (SEC) that the NYSE provided valuable trading information to some clients before others. The SEC cited poor compliance policies on the part of the NYSE, which said it addressed the problems in 2010 and 2011.

The article reports on the fine imposed by the U.S. Securities and Exchange Commission (SEC) on Australian mining company BHP Billiton for practices linked to gifts offered to foreign government officials during the 2008 Summer Olympic Games in Beijing, China.