Search

The article reports that top executives from several stock exchanges including Duncan Niederauer of NYSE Euronext Inc. and Robert Greifeld of Nasdaq OMX Group will meet with U.S. Securities and Exchange Commissioner Mary Schapiro to discuss how to prevent a recurrence of a temporary stock-market crash that unfolded on May 6, 2010.

The article reports that the U.S. Security and Exchange Commission (SEC) has approved limits on the short sale of stocks that decline 10% during a single trading session. The three Democrats on the SEC including chairman Mary Schapiro supported the proposal, while Republicans Kathleen Casey and Troy Paredes were opposed.

The article reports that the U.S. Securities and Exchange Commission (SEC) has suggested a ban on "naked-access" trading, which allows traders to circumvent oversight by exchanges and securities regulators. High-frequency traders often use naked access, and SEC chairwoman Mary Schapiro fears the practice could at some point pose a threat to market stability.

The article reports that the U.S. Securities and Exchange Commission (SEC) is looking into the practice of "naked access" whereby high-frequency trading firms and others pay brokerages to let them trade large quantities of stocks on exchanges directly and with anonymity. Regulators fear market risks that could arise in connection with naked access.

The article reports that the U.S. Securities and Exchange Commission (SEC) is considering a ban on "flash" orders that briefly give some market participants an advance look at market activity. SEC chair Mary Schapiro has expressed concern over the inequity that flash orders create. NYSE Euronext, which has lost market share to rival exchanges that allow flash orders, favors a ban.

The article discusses high-frequency trading (HFT) and the New York Stock Exchange's new building for HFT currently under construction in Mahwah, New Jersey. HFT accounts for over 50% of the stock trading volume in the U.S. However, David Shillman of the U.S. Securities and exchange Commission (SEC) expresses concerns over the potential for systemic risk introduced by HFT.

The article reports that Ritchie Capital Management LLC has lost over $1 billion from investors over the past year due to disapproval over some financial management practices. While the company tries to woo its investors back, several executives were served with Wells notices from the U.S. Securities and Exchange Commission which is looking into improper trading of mutual funds.

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.

The article presents financial industry news briefs as of December 11, 2014, stating that the U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission would see a modest increase in funding in the 2015 Federal budget, and financial services firm Morgan Stanley will pay four million dollars to settle charges it failed to conduct adequate due diligence before raising trading limits for trader David Miller of Rochdale Securities who conducted fraudulent purchases.

The article discusses U.S. Securities and Exchange Commission (SEC) chairman Mary Jo White's decision to take action on a stock-market rule on high-speed electronic trading and objections from SEC commissioners Kara Stein and Luis Aguilar, who argue the rule should be expanded to include brokers.

The article reports that a time lag between the time a private data feed publishes regulatory filings to the U.S. Securities and Exchange Commission and the filings' appearance on the agency's website has diminished since October 29, 2014 after the newspaper "Wall Street Journal" reported some investors were gaining access to documents ahead of others.

The article discusses the Athena Capital Research LLC high-frequency securities trading firm's decision to settle a market-manipulation lawsuit involving the U.S. Securities and Exchange Commission (SEC) by paying a one million dollar penalty, focusing on strategies to move closing stock prices.

The article discusses the delaying of the implementation of regulations that require trading firms to use tests and checks to prevent market mishaps by the U.S. Securities & Exchange Commission (SEC), focusing on efforts by SEC commissioners Kara Stein and Luis Aguilar to expand the rules.

The article discusses an estimate submitted to the U.S. Securities and Exchange Commission for the costs of building and operating a computer system to tracks all U.S. trading of stocks and options.

The article discusses a proposal made public on June 20, 2014 by U.S. Securities and Exchange Chairwoman Mary Jo White that would improve transparency in the bond market by making more readily available to individual investors pricing information about municipal and corporate bonds.

The article announces the hiring of John Ramsay, former head of the U.S. Securities and Exchange Commission's (SEC) Trading and Markets division, at the upstart trading company IEX Group in June of 2014.

The article discusses the U.S. Securities and Exchange Commission (SEC) in September 2013, focusing on the SEC's imposition of a 60-day deadline for American stock and options exchanges to deliver their plans for managing major problems in the wake of several market breakdowns.

The article reports that the U.S. Securities and Exchange Commission (SEC) will question executives on how computer glitches impact markets and discusses why regulators want stricter standards on market technology.

The article explores topics that may be discussed during the 2013 U.S. Senate hearing for Mary Jo White, nominee for head of the U.S. Securities and Exchange Commission (SEC), including corporate indictments, whistleblowers, and financial regulations.

The article reports that the administration of U.S. President Barack Obama is likely to nominate former federal prosecutor Mary Jo White as head of the U.S. Securities and Exchange Commission (SEC).

The article reports that the U.S. Securities and Exchange Commission fined day-trader Peter Beck and his business partner, Charles Kim, $250,000 apiece for manipulative trading activities by traders working for Beck's company, Swift Trade.

The article provides information on Elisse Walter, who is scheduled to replace Mary Schapiro as chairman of the U.S. Securities and Exchange Commission (SEC) on December 14, 2012, with particular attention on disagreements between Walter and Schapiro on several economic issues.

The article discusses a proposal from money fund firms that would apply fees to customers attempting to withdraw cash during a financial crisis, which has been opposed by the U.S. Securities and Exchange Commission (SEC) who claim it could destabilize money markets.