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Latest news and analysis on Securities and Exchange Commission (SEC) (612 items)

23 Nov 2010
News
FIA calls on lawmakers to rethink clearing house ownership rules
09 Nov 2010
Company
SEC bans stub quotes; looks again at circuit breakers
25 Oct 2010
Company
SEC names Thomas Bayer CIO
12 Oct 2010
News
European Commissioner takes aim at HFT
04 Oct 2010
Feature
Flash in the pan?
01 Oct 2010
News
CFTC calls for cap on stakes in clearing houses and exchanges
17 Sep 2010
Company
SEC monitors XBRL uptake with Edgar datasets and analytics
13 Sep 2010
Company
SEC expands circuit breaker rules
26 Aug 2010
Company
SEC lays out new proxy voting rules
20 Aug 2010
News
Inter-dealer brokers warn of 'monopolistic' risks in new swap clearing rules
17 Aug 2010
Company
ISE accuses options marts of unfair fees practices
16 Aug 2010
News
Bats gets SEC green light for second US exchange
12 Aug 2010
News
Computer systems fingered in flash crash probe
30 Jul 2010
Company
SEC slaps $75 million subprime penalty on Citi and two executives
16 Jul 2010
News
Regulators turn up the heat on social media-linked scammers
15 Jul 2010
Company
SEC commissioner Luis Aguilar on proxy voting reform
15 Jul 2010
News
CFTC posits new disaster recovery rules as regulators probe 'algo price pirates'
13 Jul 2010
News
SEC CIO Boucher quits
30 Jun 2010
News
Circuit breaker called into action after Citi trade spooks market
30 Jun 2010
Company
SEC charges Canadians over penny stocks scam
17 Jun 2010
News
SEC staffer's move to Getco prompts review of 'revolving door'
11 Jun 2010
Company
SEC approves new circuit breaker rules
03 Jun 2010
Company
Schapiro opening statement at SEC market structure roundtable
03 Jun 2010
News
Diebold pays $25m over accounting fraud charges
28 May 2010
Company
Jeff Heslop named SEC Chief Operating Officer
27 May 2010
News
SEC votes in favour of $4 billion audit trail; Finra widens net to back office
19 May 2010
News
Flash crash prompts circuit breaker roll-out
14 May 2010
Company
SEC names Gerald Hodgkins associate director, enforcement division
12 May 2010
News
'Flash crash' post-mortem points to high speed trading curbs
12 May 2010
Company
SEC, CFTC establish joint advisory committee on emerging regulatory issues
10 May 2010
News
SEC summons exchange chiefs in wake of Dow plunge
26 Apr 2010
News
SEC staff found surfing porn on work computers
15 Apr 2010
Company
SEC proposes new transparency rules for options markets
14 Apr 2010
News
SEC to introduce large trader reporting system
08 Apr 2010
Company
SEC to clamp down on ABS market
07 Apr 2010
News
SEC considers electronic tagging of high-frequency traders - WSJ
06 Apr 2010
Company
SEC appoints Kathleen Griffin chief compliance officer
18 Mar 2010
News
SEC to build IT Forensics Lab
15 Mar 2010
Company
Direct Edge gets SEC approval for stock exchange status
11 Mar 2010
Company
SEC warns of phony Web site targeting Madoff fraud victims
23 Feb 2010
Company
SEC amends e-proxy rules
17 Feb 2010
Company
Finra looks to expand available info on online BrokerCheck service
27 Jan 2010
Company
Bats receives SEC green-light for US equity options platform
14 Jan 2010
News
SEC begins overhaul of US equity markets with ban on direct market access
06 Jan 2010
News
Perot man charged with insider trading returns $8.6 million
21 Dec 2009
News
Icap pays $25 million SEC penalty to cover fake trading charges
03 Dec 2009
News
SEC files fraud charges against healthcare banking tech firm
18 Nov 2009
Company
Finra gets nod to expand BrokerCheck service
13 Nov 2009
News
SEC charges computer programmers over Madoff fraud
13 Nov 2009
Company
Bats files with SEC for options platform
11 Nov 2009
Company
SEC appoints Robert Cook director, trading and markets division
06 Nov 2009
Company
SEC recruits for new risk, strategy, and financial innovation unit
30 Oct 2009
News
As dark pool debate rages, Credit Suisse Crossfinder records best ever day
29 Oct 2009
News
Finra forms Social Networking Task Force
27 Oct 2009
News
SEC sets sights on sponsored access and exchange co-location
23 Oct 2009
Company
SEC launches investor education Web site
21 Oct 2009
News
SEC proposes dark pool rules; institutions divided over merits of high frequency trading
20 Oct 2009
News
SEC fines broker-dealer $100,000 over computer security failures
20 Oct 2009
News
SEC and CFTC propose joint IT task force
19 Oct 2009
News
IBM exec among six charged over tech insider trading scheme