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The article states that U.S. government agencies the Justice Department and the Securities and Exchange Commission (SEC) requested that European law enforcement authorities seize about $1 billion in assets as part of an investigation concerning alleged corruption by telecommunications firms Vimpelcom Ltd., Mobile TeleSystems PJSC, and TeliaSonera AB in which the firms transferred money to businesses operated by Uzbek entrepreneur Gulnara Karimova, the daughter of Uzbek president Islam Karimov.

The article states that U.S. government agencies were investigating whether the New York City hedge fund Och-Ziff Capital Management Group LLC was aware that part of a $150 million investment in African miner Central African Mining & Exploration Co. (Camec) would end up with the government Zimbabwe president Robert Mugabe. The article states that Och-Ziff was previously being investigated by U.S. agencies the Justice Department and the Securities and Exchange Commission (SEC) for possible violations of the U.S. legislation the Foreign Corrupt Practices Act.

The article discusses how the U.S. Securities and Exchange Commission (SEC) is working to close a gap in the electronic distribution of its corporate regulatory filings to investors who pay for subscriptions and the SEC website. Topics include how the lag gives large investment firms an advantage over smaller investors, the SEC's regulations for computer trading, and comments from SEC Chairman, Mary Jo White.

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 discusses results of a pair of studies that show hedge funds, high-frequency traders, and others who subscribe to a data feed from the U.S. Securities and Exchange Commission (SEC) receive company filings from the SEC moments before they are posted at the agency's Website, thus creating an opportunity for profitable trading. One paper co-written by Jonathan Rogers of the University of Colorado shows the discrepancy leads to movement in prices and trading volume.

The article discusses the lifting of restrictions on the bank Citigroup by the U.S. Securities & Exchange Commission (SEC), focusing on Citigroup's renewed ability to sell investments in hedge funds and private equity funds. Other topics include a settlement between the SEC and Citigroup, Citigroup's status as a well known seasoned issuer, and the opinions of commissioner Kara Stein on the SEC's policies towards large financial institutions.

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 securities-trading venue IEX Group Inc. intends to seek approval from the U.S. Securities and Exchange Commission to become a fully-functional stock exchange. In preparation IEX has raised $75 million from Spark Capital, Bain Capital Ventures, and other venture-capital outfits. Details are presented about the company's ambitions for achieving market share in the U.S.

The article discusses restrictions to financial services corporation Citigroup Inc. in selling hedge funds and private-equity funds to investors. It highlights how the decision follows the settlement between Citigroup and the U.S. Securities and Exchange Commission (SEC) regarding the bank's sale of collateralized debt products. It also mentions restrictions by the SEC on private-securities offerings and how Citigroup may try to obtain a waiver to this restriction.

The article reports that exchange operator BATS Global Market Inc. is nearing a settlement with the U.S. Securities and Exchange Commission over allegations of unfair advantages having been given to high-speed traders. At issue is conduct at Direct Edge Holdings LLC, an exchange BATS combined with in 2013. In July of 2014 BATS dismissed president William O'Brien, who had previously been in charge at Direct Edge.

The article reports that on June 25, 2014 New York Attorney General Eric Schneiderman sued banking company Barclays PLC for allegedly telling clients who used its so-called dark pool trading venue that it protected them from high-frequency traders, while it actually favored those traders. It has previously been reported that the U.S. Securities and Exchange Commission is investigating how dark pools function.

The article reports that the U.S. Securities and Exchange Commission (SEC) is investigating several trading venues known as dark pools. At issue are matters of disclosure, confidentiality, and fairness. A pool called LX operated by banking company Barclays PLC is among those being looked into by the SEC. In early June, 2014 the SEC charged the dark pool Liquidnet with making improper disclosures about some of its customers.

The article discusses comments made on June 5, 2014 by U.S. Securities and Exchange Commission (SEC) chair Mary Jo White about increased regulation of high-frequency traders (HFTs). White said HFTs should be required to register as broker-dealers, and that the SEC was looking into how it might ban short-term strategies pursued by HFTs that can create undue market volatility. She also called for greater disclosure by trading venues known as dark pools.

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 reports that the U.S. Securities and Exchange Commission (SEC) is considering a trial program in which the trading of selected stocks would be free of so-called maker-taker fees, which are a major source of revenue for stock exchanges and some high-frequency trading companies. Investment-management firm BlackRock Inc. has said the fees present a conflict of interest to brokerage firms.

The article discusses investigations by U.S. regulators into hi-frequency trading. The Commodity Futures Trading Commission is looking into arrangements between trading firms Virtu Financial Inc. and Jump Trading LLC, and futures-exchange operators IntercontinentalExchange Group Inc. and CME Group Inc. The Securities and Exchange Commission is investigating whether some trading firms have gotten preferential treatment from stock exchanges.

The article reports that several U.S. regulators including the Securities and Exchange Commission and Commodity Futures Trading Commission are set to approve new restrictions in December 2013 on proprietary trading by banks. Among changes will be a requirement that banks identify the risks that hedges they enter into are meant to alleviate.

The article reports that in October 2013 U.S. Securities and Exchange Commission (SEC) Chairman Mary Jo White questioned whether self-regulation remained a viable method of oversight for stock exchanges. She said the emergence of exchanges as competitors to brokerages, and changes in market structure and trading practices were among developments that made it advisable for the SEC to reconsider supervision of the industry.

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 discusses the process of developing the so-called Volcker rule of the Dodd-Frank Wall Street Reform and Consumer Protection Act legislation in the U.S. as of September 2013, focusing on conflict between agencies such as the U.S. Securities and Exchange Commission and the Federal Deposit Insurance Corp. According to the article, the rule is intended to mitigate financial risks by preventing banks from investing their own money. INSETS: Shifting Bank Landscape;Banks in the Cross Hairs.

The article reports that the U.S. Financial Industry Regulatory Authority (Finra) is expected to propose new rules that would require greater disclosure from private trading venues known as dark pools. The rules, which require approval from the Securities and Exchange Commission, would mandate that pools disclose trading activity to Finra on a weekly basis.

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 a judge from the U.S. Securities and Exchange Commission has ruled in 2013 that the former banker Jonathan Feldman committed a short-selling fraud by misleading investors with naked short selling practices. The brokerage firm optionsXpress Inc. of the brokerage company Charles Schwab Corp. is mentioned.

The article reports on attempts by the U.S. Financial Industry Regulatory Authority (Finra) to regulate the operation of "dark pools," or off-exchange trading venues, in the U.S. stock market in 2013. Topics include Finra's concern that dark pools are not disclosing all their information to customers, the possibility that Finra will ask the U.S. Securities & Exchange Commission (SEC) to regulate dark pools, and concerns about the influence of broker-dealers.

The article discusses a U.S. senate hearing at which Mary Jo White, the candidate for the chairman of the U.S. Securities and Exchange Commission selected by the U.S. president Barack Obama, was asked questions about whether her former role with the law firm Debevoise & Plimpton LLC would impugn her ability to defend U.S. consumers. According to the article, White would focus on implementing the Jumpstart Our Business Startups Act of 2012 if confirmed.

The article discusses aspects of Mary Jo White's background that could prove controversial among U.S. Senators who will decide whether to approve her nomination to become chairman of the Securities & Exchange Commission. As a private attorney White represented J. P. Morgan Chase & Co. and other large banks. While serving as a U.S. attorney she aggressively prosecuted terrorists and organized-crime figures.

The article discusses a January 10, 2013 disclosure by securities-exchange operator BATS Global Markets Inc. that since 2008 undetected errors at its exchange have resulted in customers paying higher prices than necessary on securities trades. BATS chief executive Joe Ratterman said his firm was conducting internal audits to see if other problems existed. The U.S. Securities and Exchange Commission has inquired into the matter.

The article examines how investigations by the U.S. Securities and Exchange Commission (SEC) into stock exchanges over possible unfair advantages given to high-speed traders has led to increased complaints against the exchanges and stock market regulation. According to a letter by mutual funds trade group the Investment Company Institute to the SEC, U.S. stock exchanges conduct stock trading practices that benefit market participants using computers against long-term investors

The article discusses the impending resignation of Chairman Mary Schapiro of the U.S. Securities and Exchange Commission (SEC). Commentary is presented about her achievements at the SEC including several successful enforcement actions, as well as on missteps such as a failed effort to impose greater regulation on the money-market mutual-fund industry.

The article discusses an investigation by the U.S. Securities and Exchange Commission (SEC) into whether stock exchanges give an unfair advantage to some traders. An existing probe into order types offered by exchanges has broadened to examine whether certain traders, notably high-frequency traders, have gained undue advantage from information provided by the exchanges.

The article reports that the U.S. Securities and Exchange Commission (SEC) is continuing its investigation into financial services firm Knight Capital Group Inc. following computer errors in the firms trading systems. It states that the SEC is questioning Knight's risk-control procedures and compliance with the market-access rule, which requires brokerage firms to prevent errors similar to those from August 1, 2012 that cost Knight more that $450 million in losses.

The article looks at the process of developing regulations to implement the 2010 Dodd-Frank Wall Street Reform & Consumer Protection Act, focusing on the Volcker Rule limiting securities trading by banks. It says three of the agencies with a role in drafting the rule are in agreement, but a fourth, the U.S. Securities and Exchange Commission (SEC), is pressing for a different version. It says the dispute relates to the definition of proprietary trading, which is to be prohibited.

The article discusses industry resistance to order types that are seen as benefiting practitioners of high-frequency securities trading to the detriment of others. The U.S. Securities and Exchange Commission has expressed concern about a new order type proposed by stock-exchange operator Nasdaq OMX Group. Another exchange operator, NYSE Euronext, will seek modification to an order type it offers after complaints about it from large investment firms.

The article reports that broker-dealer eBX LLC has agreed to settle with the U.S. Securities and Exchange Commission over allegations that it shared client-trading information with one of its investors. Topics include how eBX used its trading platform, LeveL ATS, to share information with Citigroup Inc., the emergence of these "dark pools" of anonymous trading in electronic finance, and financial analyst Sang Lee's predictions for what this case will do to confidence in the stock markets.

The article discusses heightened scrutiny in the U.S. of high-frequency trading. The U.S. Securities and Exchange Commission is investigating whether stock exchanges have provided high-speed traders with advantages over other traders. Special attention is paid to Dave Lauer, a former employee of a high-frequency trading firm who will voice his concerns about the industry during a September 20, 2012 appearance before the U.S. Senate Banking Committee.

The article reports on an investigation being conducted by the U.S. Securities and Exchange Commission into alleged unfair advantages provided by stock exchanges, including the New York Stock Exchange (NYSE) and the NASDAQ, to large, high-speed stock trading firms, as of September 2012. It notes the investigation was spurred by allegations made by stock trader Haim Bodek. INSET: How 'Hide Not Slide' Orders Work.

The article reports that the U.S. government Securities and Exchange Commission (SEC) is scrutinizing and fining stock exchanges for errors related to computer-driven trading. Exchange operators including NYSE Euronext of the New York Stock Exchange, Nasdaq OMX Group Inc. of the Nasdaq Stock Market, and Direct Edge Holdings LLC are noted.

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 discusses negotiations between the brokerage firm Knight Capital Group and the U.S. Securities and Exchange Commission (SEC) after a series of errant trades due to a software glitch which led to Knight's unintended purchase of billions of dollars of securities. Topics include the actions of Knight chief executive Thomas Joyce; the response of Mary Schapiro, chairman of the SEC; and SEC policies for trade cancellations.

The article reports that on June 20, 2012 a subcommittee of the U.S. Commodity Futures Trading Commission (CFTC) is expected to issue a proposed definition for high-frequency trading (HFT) that will likely guide regulators such as the CFTC and Securities and Exchange Commission in future efforts to regulate HFT. It is noted that the definition is expected to be broader than HFT firms had hoped for.

The article reports that U.S. Senator Charles Grassley has requested the Securities & Exchange Commission (SEC) report on its policies to protect the identity of whistleblowers and other informants in SEC investigations. Grassley's request follows a previous report in the publication that the SEC inadvertently revealed the identity of Peter G. Earle, a cooperating witness in an investigation of the firm Pipeline Trading Systems LLC.

The article reports that a lawyer of the U.S. Securities & Exchange Commission (SEC) inadvertently revealed the identity of a whistleblower within the securities trading platform company Pipeline Trading Systems LLC during an investigation of that firm. The former employee of Pipeline is identified as Peter C. Earle.

The article reports that the U.S. Securities & Exchange Commission (SEC) has begun an investigation into companies which specialize in so-called high-frequency trading, electronic trading of securities in which transactions are completed in fractions of seconds. Anonymous sources are cited to report that the investigation is focused on the use of trading platforms of the securities exchange BATS Global Markets Inc.

The article reports that the U.S. Securities & Exchange Commission (SEC) is seeking means of limiting the role of high-frequency electronic trading of securities in stock trading, including possibly charging fees for buy and sell order which are generated by computers and then canceled. SEC Chairman Mary Schapiro states that high-frequency trading has little to do with the fundamental market value of companies whose stock is being traded.

The article reports that a leaked draft of a memo detailing a proposal that would restrict proprietary trading by banks was posted on the Web site of the publication "American Banker." The document was written by several regulators including the U.S. Federal Reserve and Securities and Exchange Commission,

The article reports that the U.S. Securities and Exchange Commission (SEC) is proceeding with plans to construct a multi-billion dollar computer system that would allow it to keep track of securities trading in real time. The system would be paid for by brokerage firms, stock exchanges, and the Financial Industry Regulatory Authority. Commentary is presented about the proposed system's capabilities, and industry opposition to it.

The article reports that the U.S. Securities and Exchange Commission (SEC) has spoken with Interactive Brokers Group Inc. and other brokers in an effort to determine whether trading in exchange-traded funds (ETFs) contributed to market volatility during August 2011. Of particular interest to the SEC are leveraged ETFs that seek to achieve some multiple of the return of specified indexes, often by using derivatives.

This article reports that Thomas Priore of ICP Asset Management LLC, a critic of Wall Street practices and client defender, has been sued by the U.S. Securities and Exchange Commission for defrauding investors by favoring some clients over others in mortgage-bond trades during the financial crisis. Priore's protection of hedge-fund client Moore Capital helped to contribute to the financial crisis.