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'securities and exchange commission' related content

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Content with tags matching 'securities and exchange commission':

News: U.S. Securities And Exchange Commission Approves NYSE Euronext Filings Related To Merger With Deutsche Brse AG

1897 days ago,(2012/01/18) - News Articles

News: Remarks Before The 2011 AICPA National Conference On Current SEC And PCAOB Developments By Howard Scheck, Chief Accountant, Division Of Enforcement, U.S. Securities And Exchange Commission

1926 days ago,(2011/12/20) - News Articles

News: Remarks At The Transatlantic Corporate Governance Dialogue By Chairman Mary L. Schapiro, U.S. Securities And Exchange Commission

1931 days ago,(2011/12/16) - News Articles

News: Prepared Remarks For The 2011 AICPA National Conference On Current SEC And PCAOB Developments By Paul A. Beswick, Deputy Chief Accountant, U.S. Securities And Exchange Commission

1938 days ago,(2011/12/08) - News Articles

News: Remarks Before The 2011 AICPA National Conference On Current SEC And PCAOB Developments By Paul A. Beswick, Deputy Chief Accountant, U.S. Securities and Exchange Commission

1939 days ago,(2011/12/08) - News Articles

News: Testimony On H.R. 1148, The Stop Trading On Congressional Knowledge Act By Robert Khuzami, Director, Division Of Enforcement, U.S. Securities And Exchange Commission - Before The Committee On Financial Services Of The U.S. House Of Representatives

1940 days ago,(2011/12/06) - News Articles

News: Remarks Before The 2011 AICPA National Conference On Current SEC And PCAOB Developments By Jason K. Plourde, Professional Accounting Fellow, Office Of The Chief Accountant, U.S. Securities And Exchange Commission

1941 days ago,(2011/12/05) - News Articles

News: Remarks Before The 2011 AICPA National Conference On Current SEC And PCAOB Developments By Christian Peo, Professional Accounting Fellow, U.S. Securities And Exchange Commission

1941 days ago,(2011/12/05) - News Articles

News: Remarks Before The 2011 AICPA National Conference On Current SEC And PCAOB Developments By James L. Kroeker, Chief Accountant, Office Of The Chief Accountant, U.S. Securities And Exchange Commission

1941 days ago,(2011/12/05) - News Articles

News: Speech By SEC Staff: Remarks At The Compliance Outreach Program By Carlo V. Di Florio, Director, Office Of Compliance Inspections And Examinations, U.S. Securities And Exchange Commission

1884 days ago,(2012/01/31) - News Articles

News: Commodity Futures Trading Commission And Securities and Exchange Commission Release Joint Report To Congress On International Swap Regulation

1883 days ago,(2012/02/02) - News Articles

News: Speech By SEC Staff: Remarks On News Conference Call About Case Against Credit Suisse Investment Bankers By Robert Khuzami, Director Of The SECs Division of Enforcement, U.S. Securities And Exchange Commission

1882 days ago,(2012/02/02) - News Articles

News: Institutional Investors Call On U.S. Securities And Exchange Commission To Implement Financial Market Reforms

1871 days ago,(2012/02/13) - News Articles

News: Remarks Before The PLI Investment Management Institute 2012 By Eileen P. Rominger, Director, Division Of Investment Management, U.S. Securities And Exchange Commission

1870 days ago,(2012/02/14) - News Articles

News: Broker-Dealer Anti-Money Laundering Compliance Learning Lessons From The Past And Looking To The Future By David W. Blass, Chief Counsel, Division Of Trading And Markets, U.S. Securities And Exchange Commission - SIFMA Anti-Money Laundering & Financial Crimes Conference, February 29, 2012

1855 days ago,(2012/02/29) - News Articles

News: Ongoing Regulatory Reform In The Global Capital Markets - Commissioner Daniel M. Gallagher U.S. Securities And Exchange Commission Annual Conference Of The Institute of International Bankers Washington, D.C., March 5, 2012

1849 days ago,(2012/03/06) - News Articles

News: Testimony Before The Subcommittee On Financial Services And General Government Committee On Appropriations - United States House Of Representatives By Chairman Mary L. Schapiro, U.S. Securities And Exchange Commission

1849 days ago,(2012/03/06) - News Articles

News: Keynote Address: Investment Adviser Association Investment Adviser Compliance Conference/2012 By Commissioner Daniel M. Gallagher, U.S. Securities and Exchange Commission

1847 days ago,(2012/03/08) - News Articles

News: Keynote Address At PLI - Eleventh Annual Institute On Securities Regulation In Europe By Meredith Cross, Director, Division Of Corporation Finance, U.S. Securities And Exchange Commission

1843 days ago,(2012/03/12) - News Articles

News: Testimony Concerning Indemnification Of Security-Based Swap Data Repositories - By Ethiopis Tafara Director, Office Of International Affairs, U.S. Securities And Exchange Commission, Before The Subcommittee On Capital Markets And Government Sponsored Enterprises, United States House Of Representatives

1835 days ago,(2012/03/21) - News Articles

News: Testimony On The Collapse Of MF Global: Lessons Learned And Policy Implications By Robert Cook Director, Division Of Trading And Markets U.S. Securities And Exchange Commission - Before The Committee On Banking, Housing, And Urban Affairs, United States Senate

1801 days ago,(2012/04/24) - News Articles

News: Testimony On SEC Oversight By Chairman Mary L. Schapiro U.S. Securities And Exchange Commission - Before The Capital Markets And Government Sponsored Enterprises Subcommittee And Financial Institution And Consumer Credit Subcommittee Of The U.S. House Of Representatives Committee On Financial Services

1800 days ago,(2012/04/25) - News Articles

News: BOX Granted SRO Approval From U.S. Securities And Exchange Commission

1794 days ago,(2012/04/30) - News Articles

News: Speech By SEC Staff: Address At The Private Equity International Private Fund Compliance Forum By Carlo V. di Florio, Director, Office Of Compliance Inspections And Examinations, U.S. Securities And Exchange Commission

1792 days ago,(2012/05/03) - News Articles

News: Advocating For Greater Federal And State Securities Regulatory Cooperation And Collaboration By Commissioner Luis A. Aguilar, U.S. Securities and Exchange Commission

1787 days ago,(2012/05/07) - News Articles

News: UBS AG : UBS Quant HQ offers "Riskbot(R)" Risk Management Platform to clients

1373 days ago,(2013/06/26) - UBS.

News: SEC going high-tech with real-time trade data [Washington Post]

1548 days ago,(2013/01/02) - HFT Review

News: Probe Sparks Split on Trades [Wall St Journal - Subscription]

1560 days ago,(2012/12/21) - HFT Review

News: Nasdaq Seeks Approval for Revised Paid-for-Market-Making Plan [Traders Magazine]

1570 days ago,(2012/12/11) - HFT Review

News: 'Paid-For-Market-Making' Deadline Looms [Traders Magazine]

1588 days ago,(2012/11/22) - HFT Review

News: Exchanges Get Closer Inspection [Wall Street Journal]

1591 days ago,(2012/11/20) - HFT Review

News: Decision looms in U.S. case over market data fees [Reuters]

1597 days ago,(2012/11/14) - HFT Review

News: Nasdaq Looks to Wireless For Data Connectivity [Low-Latency.com]

1603 days ago,(2012/11/08) - HFT Review

News: Computer errors: Mishaps prompt greater scrutiny of high speed traders [Financial Times]

1625 days ago,(2012/10/17) - HFT Review

News: SEC Automating Analysis of Suspicious Trading Patterns [Traders Magazine]

1630 days ago,(2012/10/12) - HFT Review

News: SIFMA Blasts Nasdaqs Algo Plan [Traders Magazine]

1630 days ago,(2012/10/12) - HFT Review

News: To Regulate Rapid Traders, S.E.C. Turns to One of Them [New York Times]

1634 days ago,(2012/10/08) - HFT Review

News: SEC WRAP: A Collection of SEC Roundtable Coverage [Traders Magazine]

1637 days ago,(2012/10/05) - HFT Review

News: Industry to SEC: We like the idea of kill switches, live test symbols and standards [Automated Trader]

1639 days ago,(2012/10/03) - HFT Review

News: SEC Told Errors Inevitable. 'Prevention Culture Needed [Traders Magazine]

1639 days ago,(2012/10/03) - HFT Review

News: SEC Leads From Behind as High-Frequency Trading Shows Data Gap [Bloomberg Businessweek]

1639 days ago,(2012/10/03) - HFT Review

News: Ops, Tech Execs Named for SEC Market Stability Roundtable [Traders Magazine]

1641 days ago,(2012/10/01) - HFT Review

News: Insight: Chicago Fed warned on high-frequency trading, SEC slow to respond [Reuters]

1641 days ago,(2012/10/01) - HFT Review

News: Exchanges See No Unfairness in Data Delivery Speeds [Traders Magazine]

1644 days ago,(2012/09/28) - HFT Review

News: SEC Looks for the 'Kill Switches' [Wall Street Journal]

1644 days ago,(2012/09/28) - HFT Review

News: Quick View: SEC chips at bourses status [Financial Times]

1655 days ago,(2012/09/17) - HFT Review

News: SEC May Extend Planned Rule to Brokers, Shillman Says [Bloomberg]

1655 days ago,(2012/09/17) - HFT Review

News: New York Stock Exchange Settles Case Over Early Data Access [New York Times]

1655 days ago,(2012/09/17) - HFT Review

News: Direct Edge Introduces Anti-HFT Order Type [Traders Magazine]

1672 days ago,(2012/08/31) - HFT Review

News: SEC Announces Agenda For Market Technology Roundtable [Press Release]

1672 days ago,(2012/08/30) - HFT Review

News: SEC to hold post-Knight forum [Financial Times]

1690 days ago,(2012/08/13) - HFT Review

News: Living With High-Speed Trading, Part II [Wall Street Journal]

1690 days ago,(2012/08/13) - HFT Review

News: Tradeworx CEO Talks Real Time on SEC Data Contract [Traders Magazine]

1711 days ago,(2012/07/23) - HFT Review

News: High-frequency trading is not the devil behind every market mishap [City AM]

1716 days ago,(2012/07/18) - HFT Review

News: SEC Votes To Require Consolidated Audit Trail For Markets [Bloomberg]

1721 days ago,(2012/07/13) - HFT Review

News: SEC backs audits to avoid flash crash [Financial Times]

1721 days ago,(2012/07/13) - HFT Review

News: Circuit Breakers Get Tightening [Traders Magazine]

1721 days ago,(2012/07/13) - HFT Review

News: Market-Makers Rules On Quotes Seen Focus In House Hearing [Bloomberg]

1743 days ago,(2012/06/20) - HFT Review

News: SEC Director Of Division Of Investment Management Eileen Rominger To Retire

1748 days ago,(2012/06/15) - News Articles

News: SEC Names Thomas Butler As Director Of New Office Of Credit Ratings

1749 days ago,(2012/06/15) - News Articles

News: U.S.A. Treasury Department Announces $245 Million In Proceeds From Pricing Of Public Offerings Of Preferred Stock In Seven Financial Institutions - Auction Part Of Treasurys Continued Efforts To Wind Down TARPs Bank Programs - Proceeds Deliver Additional Profit For Taxpayers On TARPs Bank Programs

1749 days ago,(2012/06/14) - News Articles

News: Remarks BY CFTC Chairman Gary Gensler On Derivatives And The Cross-Border Application Of Dodd-Frank Swap Market Reforms At The Institute Of International Bankers Membership Luncheon

1749 days ago,(2012/06/14) - News Articles

News: CFTC Settles Charges Against Defendant Robert Mihailovich, Jr. For Making False Statements To The CFTC - Federal Court In Texas Orders Mihailovich, Jr. To Pay $40,000 Fine And Bans Him From Registering With The CFTC For 10 Years And From Trading For Five Years

1750 days ago,(2012/06/13) - News Articles

News: SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme

1751 days ago,(2012/06/12) - News Articles

News: Public Statement By SEC Commissioner Luis A. Aguilar: Investor Voices Renewed: The New Investor Advisory Committee

1751 days ago,(2012/06/12) - News Articles

News: SEC Issues Roadmap On Phase In Of Derivatives Regulation

1752 days ago,(2012/06/11) - News Articles

News: Keynote Address By Chairman Gary Gensler On Dodd-Frank Swaps Market Reform At The Sandler ONeill Global Exchange & Brokerage Conference

1757 days ago,(2012/06/07) - News Articles

News: NASDAQ OMX And NASDAQ Stock Market Boards Announce Program For Voluntary Accommodations Related To Facebook IPO Cross

1757 days ago,(2012/06/06) - News Articles

News: OppenheimerFunds To Pay $35 Million To Settle SEC Charges For Misleading Statements During Financial Crisis

1758 days ago,(2012/06/06) - News Articles

News: Testimony Before The Committee On Financial Services By FINRAs Chairman And Chief Executive Officer, Richard G. Ketchum

1758 days ago,(2012/06/06) - News Articles

News: Hedge Fund Association Asks SEC For Clearer Rules on Vetting Investors, Supports Hedge Fund Advertising in Comment Letter - HFAs Regulatory And Government Advisory Board Chair Richard Heller Says JOBS Act Capital Formation Provision Is Fundamental To Growth

1758 days ago,(2012/06/06) - News Articles

News: Testimony By Federal Reserve Governor Daniel K. Tarullo On Dodd-Frank Act Implementation - Before The Committee On Banking, Housing, And Urban Affairs, U.S. Senate, Washington, D.C., June 6, 2012

1758 days ago,(2012/06/06) - News Articles

News: SIFMA Applauds SEC Approval Of Proposals To Address Extraordinary Market Volatility

1762 days ago,(2012/06/01) - News Articles

News: SEC Approves Proposals To Address Extraordinary Volatility In Individual Stocks And Broader Stock Market

1763 days ago,(2012/06/01) - News Articles

News: NYSE Euronext Welcomes NYSE-Listed Chemtura Corporation To Its European Market

1763 days ago,(2012/06/01) - News Articles

News: Smart Regulatory Reform And The Perils Of High-Frequency Regulation - Remarks By Commissioner Scott D. OMalia At MarkitSERVs 2012 Outlook For OTC Markets, New York City, New York

1763 days ago,(2012/05/31) - News Articles

News: SEC Expected to Greenlight Anti-Volatility Measures [Traders Magazine]

1764 days ago,(2012/05/31) - High Frequency Trading Review

News: PMEX Holds Technical Training Workshops In Lahore And Islamabad

1764 days ago,(2012/05/31) - News Articles

News: Jon Rymer Named Interim Inspector General

1764 days ago,(2012/05/30) - News Articles

News: SEC Charges Phoenix-Based Investment Adviser And Firm With Fraud

1764 days ago,(2012/05/30) - News Articles

News: Direct Edge Trading Notice #12-22: Pricing Changes On EDGA And EDGX Exchanges

1765 days ago,(2012/05/30) - News Articles

News: SEC: Miami Hedge Fund Adviser Charged For Misleading Investors About "Skin In The Game" And Related-Party Deals

1766 days ago,(2012/05/29) - News Articles

News: SEC Halts Fraudulent Investment Scheme By New York-Based Fund Manager

1770 days ago,(2012/05/25) - News Articles

News: Regulators Finishing Probes on Layering, Spoofing of Trades [Securities Technology Monitor]

1770 days ago,(2012/05/25) - High Frequency Trading Review

News: SEC Bars Former Staffer From Practice Before The Commission

1770 days ago,(2012/05/24) - News Articles

News: SEC Charges Northern California Fund Manager in $60 Million Scheme

1770 days ago,(2012/05/24) - News Articles

News: CME Group Inc. Announces Preliminary Results From Its 2012 Annual Meeting Of Shareholders

1771 days ago,(2012/05/24) - News Articles

News: SEC Charges Two Feeders For One Of South Florida's Largest-Ever Ponzi Schemes

1773 days ago,(2012/05/22) - News Articles

News: Testimony On Implementing Derivatives Reform: Reducing Systemic Risk And Improving Market Oversight By SEC Chairman Mary L. Schapiro - Before The Committee On Banking, Housing, And Urban Affairs United States Senate

1773 days ago,(2012/05/22) - News Articles

News: Testimony Before The US Senate Committee On Banking, Housing And Urban Affairs, Washington, DC, CFTC Chairman Gary Gensler

1773 days ago,(2012/05/22) - News Articles

News: SEC Charges Former Yahoo Executive And Former Ameriprise Manager With Insider Trading

1773 days ago,(2012/05/21) - News Articles

News: CBOE, C2, CFE, And CBSX Trading Schedule For Memorial Day Holiday

1773 days ago,(2012/05/21) - News Articles

News: SIFMA Appoints Kevin Zambrowicz As Managing Director And Associate General Counsel

1773 days ago,(2012/05/21) - News Articles

News: Keynote Address On The Cross-Border Application Of Dodd-Frank Swaps Market Reforms Before The 2012 FINRA Annual Conference, CFTC Chairman Gary Gensler

1774 days ago,(2012/05/21) - News Articles

News: James McNamara Named Managing Executive Of SECs Division Of Trading And Markets

1776 days ago,(2012/05/18) - News Articles

News: James Burns Named Deputy Director In SEC's Division Of Trading And Markets

1777 days ago,(2012/05/17) - News Articles

News: Erica Williams Named SEC's Deputy Chief Of Staff

1777 days ago,(2012/05/17) - News Articles

News: SEC Charges Seattle-Based Fund Manager For Secretly Diverting Client Funds To His Own Start-Up Companies

1777 days ago,(2012/05/17) - News Articles

News: SEC Charges New Jersey Man In Real Estate Investment Scam

1777 days ago,(2012/05/17) - News Articles

News: ASIC Chief Elected Chair Of IOSCO Board

1778 days ago,(2012/05/17) - News Articles

News: Statement By William J. Brodsky, Chairman And CEO, CBOE Holdings, Inc. On Illinois Pension Reform

1778 days ago,(2012/05/16) - News Articles

News: SEC Charges U.S. Perpetrators In $35 Million International Boiler Room Scheme

1778 days ago,(2012/05/16) - News Articles

News: FINRA Enhances BrokerCheck Capabilities

1778 days ago,(2012/05/16) - News Articles

News: FINRA Warns Investors Of Nutraceutical Stock Scams

1779 days ago,(2012/05/16) - News Articles

News: SEC Charges China-Based Company And Executive For Concealing Loans To Benefit His Family

1780 days ago,(2012/05/14) - News Articles

News: Thai Futures Exchange To Launch USD Futures On June 5

1781 days ago,(2012/05/14) - News Articles

News: SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies To Protect Investors From Potential Scams - Massive Trading Suspension Is Largest In Agency History

1781 days ago,(2012/05/14) - News Articles

News: Thai Bourse, Capital Market Units Restore 59 Flood-Hit Schools

1781 days ago,(2012/05/14) - News Articles

News: Schumer to SEC: Fix 'Maker-Taker' Fees [Wall Street Journal]

1784 days ago,(2012/05/11) - High Frequency Trading Review

News: JPMorgan Announces USD2 Billion Trading Loss

1784 days ago,(2012/05/11) - News Articles

News: Statement On The Proposed Exemptive Order Regarding Certain Dodd-Frank Effective Dates - CFTC Chairman Gary Gensler

1784 days ago,(2012/05/10) - News Articles

News: Concurrence Statement On The Amendment To The July 17, 2011 Exemptive Order - CFTC Commissioner Scott D. OMalia

1784 days ago,(2012/05/10) - News Articles

News: Opening Statement, Open Meeting To Consider One Final Rule On Core Principles And Other Requirements For Designated Contract Markets - CFTC Commissioner Scott D. OMalia

1785 days ago,(2012/05/10) - News Articles

News: Open Commission Meeting For Consideration Of Rules Implementing The Dodd-Frank Act - CFTC Chairman Gary Gensler

1785 days ago,(2012/05/10) - News Articles

News: SEC Charges Scotland-Based Firm For Improperly Boosting Hedge Fund Client At Expense Of U.S. Fund Investors

1785 days ago,(2012/05/10) - News Articles

News: Traders See SEC Speed Trap [Wall Street Journal]

1785 days ago,(2012/05/10) - High Frequency Trading Review

News: SEC Charges New York Man With Manipulating Biopharmaceutical Stocks And Conducting Unregistered Sales Of Securities

1785 days ago,(2012/05/09) - News Articles

News: SEC Charges Former Detroit Officials And Investment Adviser To City Pension Funds In Influence Peddling Scheme

1785 days ago,(2012/05/09) - News Articles

News: SEC Charges Deloitte & Touche In Shanghai With Violating U.S. Securities Laws In Refusal To Produce Documents

1786 days ago,(2012/05/09) - News Articles

News: SEC Charges Movie Producer And Ring Of Relatives And Business Partners With Insider Trading

1786 days ago,(2012/05/09) - News Articles

News: SEC Charges Movie Producer And Ring Of Relatives And Business Partners With Insider Trading

1786 days ago,(2012/05/08) - News Articles

News: FINRA Names Robert L. D. Colby Chief Legal Officer

1787 days ago,(2012/05/07) - News Articles

News: Joint Statement On Regulation Of OTC Derivatives Markets

1787 days ago,(2012/05/07) - News Articles

News: US flash crash measures suffer delays [Financial Times]

1787 days ago,(2012/05/07) - High Frequency Trading Review

News: SEC Charges Montana-Based Paralegal And Her Father In Insider Trading Scheme

1787 days ago,(2012/05/07) - News Articles

News: U.S. Treasury Announces Public Offering

1790 days ago,(2012/05/04) - News Articles

News: SEC Reopens Comment Period For Proposed Amendments To Its Net Capital, Customer Protection, Books And Records, And Notification Rules For Broker-Dealers

1791 days ago,(2012/05/03) - News Articles

News: "Space Between Walls" - Speech By CFTC Commissioner Bart Chilton To The Finance, Credit And International Business Association International Credit Executives Conference, Chicago, IL

1791 days ago,(2012/05/03) - News Articles

News: CBOE Holdings Reports April 2012 Trading Volume - CBOE Futures Exchange Records Second-Highest Average Daily Volume

1792 days ago,(2012/05/02) - News Articles

News: Remarks By CFTC Chairman Gary Gensler Before The International Swaps And Derivatives Associations 27 Annual General Meeting

1793 days ago,(2012/05/02) - News Articles

News: SEC Charges Florida Stock Scheme Mastermind And 10 Cohorts

1793 days ago,(2012/05/02) - News Articles

News: Federal Reserve Governor Daniel K. Tarullo At The Council On Foreign Relations C. Peter McColough Series On International Economics, New York, New York, Regulatory Reform Since The Financial Crisis

1793 days ago,(2012/05/02) - News Articles

News: Statement Of Concurrence Regarding Proposed Interpretative Statement The Confidentiality And Indemnification Provision In The Dodd-Frank Wall Street Reform And Consumer Protection CFTC Commissioner Jill E. Sommers

1793 days ago,(2012/05/01) - News Articles

News: SEC Charges UBS Puerto Rico And Two Executives With Defrauding Fund Customers

1793 days ago,(2012/05/01) - News Articles

News: SEC Charges Mother, Daughter, And Their Attorney In Illegal Penny Stock Scheme

1794 days ago,(2012/04/30) - News Articles

News: George Canellos Named Deputy Director Of SEC Enforcement Division

1794 days ago,(2012/04/30) - News Articles

News: Direct Edge Trading Notice #12-17: Transaction Pricing Changes On EDGA And EDGX Effective Tuesday, May 1, 2012

1795 days ago,(2012/04/30) - News Articles

News: CBOE Holdings: Margaret Williams Promoted To New Role Of Deputy Chief Regulatory Officer

1797 days ago,(2012/04/27) - News Articles

News: ESMA Approves Credit Ratings From Brazil For Use In The EU

1798 days ago,(2012/04/27) - News Articles

News: Attorney, Wall Street Trader, And Middleman Settle SEC Charges In $32 Million Insider Trading Case

1799 days ago,(2012/04/25) - News Articles

News: SEC Charges Former Morgan Stanley Executive With FCPA Violations And Investment Adviser Fraud

1799 days ago,(2012/04/25) - News Articles

News: CBOE Holdings Declares Second Quarter 2012 Dividend

1799 days ago,(2012/04/25) - News Articles

News: H&R Block Subsidiary Agrees To Pay $28.2 Million To Settle SEC Charges Related To Subprime Mortgage Investments

1800 days ago,(2012/04/24) - News Articles

News: Egan-Jones Ratings Co. And Sean Egan Charged With Making Material Misrepresentations To SEC

1800 days ago,(2012/04/24) - News Articles

News: Testimony By Richard G. Ketchum, Chairman & CEO, FINRA Before the Committee on Banking, Housing, and Urban Affairs, United States Senate

1800 days ago,(2012/04/24) - News Articles

News: Testimony Before The United States Senate Committee On Banking, Housing, And Urban Affairs, By CFTC Commissioner Jill E. Sommers

1801 days ago,(2012/04/24) - News Articles

News: SEC Charges Former CalPERS CEO And Friend With Falsifying Letters In $20 Million Placement Agent Fee Scheme

1801 days ago,(2012/04/23) - News Articles

News: SEC Charges Chinese Company And Executives With Lying About Asset Values And Use Of IPO Proceeds - Companys Chairman Accused Of $40 Million Theft

1801 days ago,(2012/04/23) - News Articles

News: SEC Charges British Twin Brothers Touting "Stock Picking Robot" In Internet Pump-And-Dump Scheme

1804 days ago,(2012/04/20) - News Articles

News: SEC Charges Father-And-Son Hedge Fund Managers Who Agree To Pay $4.8 Million To Settle Fraud Case

1805 days ago,(2012/04/20) - News Articles

News: US. Agencies - Volcker Rule Conformance Period Clarified

1805 days ago,(2012/04/19) - News Articles

News: SEC Names Diane C. Blizzard As Associate Director For Regulatory Policy And Investment Adviser Regulation

1805 days ago,(2012/04/19) - News Articles

News: SEC Charges Ox Trading, Optionsxpress, And Former CFO With Registration Violations

1806 days ago,(2012/04/19) - News Articles

News: SEC Adopts Rule Defining Swaps-Related Terms For Regulating Derivatives

1806 days ago,(2012/04/18) - News Articles

News: Remarks By Under Secretary For Domestic Finance Mary Miller At The Annual Conference Of The National Federation Of Municipal Analysts

1806 days ago,(2012/04/18) - News Articles

News: Opening Statement On Commission Meeting For Consideration Of Rules Implementing The Dodd-Frank Act - CFTC Chairman Gary Gensler

1806 days ago,(2012/04/18) - News Articles

News: Opening Statement, Open Meeting On Two Final Rules And Two Interim Final Rules - CFTC Commissioner Scott D. OMalia

1806 days ago,(2012/04/18) - News Articles

News: NYSE Plans to Let More Brokerages Become Market Makers [Bloomberg]

1807 days ago,(2012/04/18) - High Frequency Trading Review

News: Statement Of Dissent By CFTC Commissioner Scott D. OMalia - Further Definition Of Swap Dealer, Security-Based Swap Dealer, Major Swap Participant, Major Security-Based Swap Participant, And Eligible Contract Participant[1]

1807 days ago,(2012/04/18) - News Articles

News: Opening Statement, CFTC Open Meeting By Commissioner Mark P. Wetjen

1807 days ago,(2012/04/18) - News Articles

News: Thai Bourse, Brokerages Move To Improve Service Quality

1807 days ago,(2012/04/18) - News Articles

News: SEC Brings Knife to HFT Gunfight [Advanced Trading]

1808 days ago,(2012/04/17) - High Frequency Trading Review

News: SEC Fails To Monitor More Than Half Of Stock Trading, Former Agency Lawyers Say [Huffington Post]

1809 days ago,(2012/04/16) - High Frequency Trading Review

News: BATS IPO failure not all bad [Pensions & Investments]

1809 days ago,(2012/04/16) - High Frequency Trading Review

News: SEC Investigating Relations Between Rapid-Fire Firms,Stock Exchanges [Wall Street Journal]

1821 days ago,(2012/04/04) - High Frequency Trading Review

News: Remarks Before The Agribusiness Club Of Washington, DC, CFTC Chairman Gary Gensler

1825 days ago,(2012/03/30) - News Articles

News: CFTC Technology Advisory Committee - Opening Statement By Commissioner Scott D. OMalia

1827 days ago,(2012/03/29) - News Articles

News: Direct Edge Trading Notice #12-14: Transaction Pricing Changes On EDGA And EDGX Effective Monday, April 2, 2012

1827 days ago,(2012/03/28) - News Articles

News: CFTC Chairman Gary Gensler Remarks On The Dodd-Frank Act At The 6th Annual Capital Markets Summit Hosted By The U.S. Chamber Of Commerce, Transparent Markets Key To A Growing Economy

1828 days ago,(2012/03/28) - News Articles

News: CFTCs Division Of Market Oversight Issues Advisory Addressing Bona Fide Hedge Transactions And Positions

1829 days ago,(2012/03/27) - News Articles

News: Direct Edge Trading Notice #12-13: Requirement For Members To Identify Orders As Principal, Agency, Or Riskless Principal Effective June 4, 2012

1829 days ago,(2012/03/26) - News Articles

News: DTCCs AIP Service Set To Help Broker/Dealers With Possession And Control Requirements

1829 days ago,(2012/03/26) - News Articles

News: SEC Charges Medical Device Company Biomet With Foreign Bribery

1830 days ago,(2012/03/26) - News Articles

News: Thai Bourse, SEC Support M&A To Promote Competitiveness

1830 days ago,(2012/03/26) - News Articles

News: SEC Probes Rapid Trading [Wall Street Journal]

1831 days ago,(2012/03/25) - High Frequency Trading Review

News: SEC Establishes New Supervisory Cooperation Arrangements With Foreign Counterparts

1833 days ago,(2012/03/23) - News Articles

News: BATS Global Markets, Inc. Announces Pricing Of Its Initial Public Offering

1833 days ago,(2012/03/23) - News Articles

News: Testimony Before The Committee On Banking, Housing, And Urban Affairs, By SEC Commissioner Elisse B. Walter, Concerning "International Harmonization Of Wall Street Reform: Orderly Liquidation, Derivatives, And The Volcker Rule"

1834 days ago,(2012/03/22) - News Articles

News: Testimony By CFTC Director Jacqueline H. Mesa Before The U.S. Senate Committee On Banking, Housing, And Urban Affairs, Hearing On International Harmonization Of Wall Street Reform: Orderly Liquidation, Derivatives, And The Volcker Rule, Washington, DC

1834 days ago,(2012/03/22) - News Articles

News: Bats IPO Makes Exchange Built by Wall Street Public [Bloomberg Businessweek]

1834 days ago,(2012/03/22) - High Frequency Trading Review

News: Testimony, Hearing On H.R. The Swap Data And Clearinghouse Indemnification Correction Act Of 2012 Before The Subcommittee On Capital Markets And Government Sponsored Enterprises, Committee On Financial Services, United States House Of Representatives, CFTC General Counsel Dan M. Berkovitz

1834 days ago,(2012/03/21) - News Articles

News: Speech By SEC Commissioner Luis A. Aguilar: Why Seniors Are More Vulnerable Now As Targets For Financial Abuse

1835 days ago,(2012/03/21) - News Articles

News: Testimony Of General Counsel Dan M. Berkovitz, Hearing On H.R. - The Swap Data And Clearinghouse Indemnification Correction Act Of 2012 Before The Subcommittee On Capital Markets And Government Sponsored Enterprises, Committee On Financial Services, United States House Of Representatives

1835 days ago,(2012/03/21) - News Articles

News: Opening Statement On Commission Meeting For Consideration Of Rules Implementing The Dodd-Frank Act By CFTC's Chairman Gary Gensler

1836 days ago,(2012/03/20) - News Articles

News: Remarks At The 2012 Mutual Funds And Investment Management Conference By SEC Commissioner Elisse B. Walte

1836 days ago,(2012/03/19) - News Articles

News: SEC Issues Risk Alert On Strengthening Practices For Underwriting Of Municipal Securities, And Investor Bulletin On Municipal Bonds

1836 days ago,(2012/03/19) - News Articles

News: CFTC Releases Staff Analysis Of Market Data Related To Single-Name And Index Credit Default Swaps

1839 days ago,(2012/03/16) - News Articles

News: Investor Protection Is Needed For True Capital Formation By SEC Commissioner Luis A. Aguilar

1839 days ago,(2012/03/16) - News Articles

News: CFTC Targets Rapid Trades [Wall Street Journal]

1840 days ago,(2012/03/16) - High Frequency Trading Review

News: Availability Of Staff Analysis Of Market Data Related To Credit Default Swap Transactions

1840 days ago,(2012/03/15) - News Articles

News: SEC Charges Senior Executives At California-Based Firm In Stock Lending Scheme

1840 days ago,(2012/03/15) - News Articles

News: SEC Charges Bay Area Investment Adviser For Defrauding Investors With Bogus Audit Report

1840 days ago,(2012/03/15) - News Articles

News: SEC Charges Chicago-Based Management Consultant With Insider Trading

1841 days ago,(2012/03/15) - News Articles

News: SEC Announces Charges From Investigation Of Secondary Market Trading Of Private Company Shares

1841 days ago,(2012/03/14) - News Articles

News: SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers In Midst Of Financial Crisis

1842 days ago,(2012/03/13) - News Articles

News: SEC Charges Five With Insider Trading On Confidential Merger Negotiations Between Philadelphia Company And Japanese Firm

1842 days ago,(2012/03/13) - News Articles

News: International Securities Exchange To List Options On ISE Max SPY Index - New Cash-Settled Option Product Tracks Most Popular ETF

1843 days ago,(2012/03/13) - News Articles

News: SEC Charges Former Executive At Coca-Cola Bottling Company With Insider Trading

1847 days ago,(2012/03/08) - News Articles

News: US bourses to fine HFT data-cloggers [Financial Times]

1848 days ago,(2012/03/08) - High Frequency Trading Review, Comments (1)

News: Federal Court In Illinois Orders Windsor Brokers, Ltd. Of Cyprus To Pay $140,000 Civil Monetary Penalty, Cease Soliciting U.S. Customers, And Modify Website - Action Part Of CFTCs Nationwide Sweep Against Foreign Currency Firms For Failure To Register Under The 2008 Farm Bill, The Dodd-Frank Act, And CFTC Regulations

1848 days ago,(2012/03/07) - News Articles

News: U.S. Treasury Announces Public Offering Of AIG Common Stock, Agreement With AIG To Repay The Governments Remaining $8.5 Billion Preferred Equity Investment

1848 days ago,(2012/03/07) - News Articles

News: Direct Edge Introduces Message Efficiency Incentive Program

1848 days ago,(2012/03/07) - News Articles

News: SEC Charges CEO Of Las Vegas-Based Penny Stock Company And Several Consultants In Pump-And-Dump Scheme

1848 days ago,(2012/03/07) - News Articles

News: SDSC's 'Gordon' supercomputer: Ready for researchers [PhysOrg.com]

1849 days ago,(2012/03/07) - High Frequency Trading Review

News: Testimony Before The Subcommittee On Financial Services And General Government Committee On Appropriations - United States House Of Representatives By Chairman Mary L. Schapiro, U.S. Securities And Exchange Commission

1849 days ago,(2012/03/06) - News Articles

News: SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged With Defrauding Investors

1849 days ago,(2012/03/06) - News Articles

News: Marshall Gandy Named Head Of Examinations Program In SECs Fort Worth Regional Office

1853 days ago,(2012/03/02) - News Articles

News: Judge Orders Brookstreet CEO To Pay $10 Million Penalty In SEC Case

1854 days ago,(2012/03/02) - News Articles

News: IntercontinentalExchange Announces First Year Results of High Frequency Trading Policy [Press Release]

1855 days ago,(2012/03/01) - High Frequency Trading Review

News: Testimony Before The U.S. House Committee On Agriculture, Washington, DC - CFTC Chairman Gary Gensler

1856 days ago,(2012/02/29) - News Articles

News: CFTC Proposes Rules To Help Prevent And Detect Identity Theft

1856 days ago,(2012/02/28) - News Articles

News: SEC Proposes Rules To Help Prevent And Detect Identity Theft

1856 days ago,(2012/02/28) - News Articles

News: Redline Trading Solutions Introduces Ultra-low Latency Pre-Trade Risk Solution Delivering 15c3-5 Compliance in Less Than One Microsecond

1857 days ago,(2012/02/28) - Redline Trading Solutions

News: SEC Releases Risk Alert On Unauthorized Trading

1857 days ago,(2012/02/27) - News Articles

News: Direct Edge Trading Notice #12-11: Transaction Pricing Changes Effective March 1, 2012

1857 days ago,(2012/02/27) - News Articles

News: Tapping the Brakes on High-Speed Trading [Barron's]

1858 days ago,(2012/02/27) - High Frequency Trading Review

News: Regulators Scrutinize Ties With Exchanges [Wall Street Journal]

1858 days ago,(2012/02/27) - High Frequency Trading Review

News: BM&FBOVESPA S.A Notice To The Market - Decrease Of Shareholder Participation_Lone Pine

1860 days ago,(2012/02/25) - News Articles

News: Shining A Light On Expenditures Of Shareholder Money By SEC Commissioner Luis A. Aguilar - Practising Law Institutes SEC Speaks In 2012

1860 days ago,(2012/02/24) - News Articles

News: Remarks At The SEC Speaks In 2012 By SEC Commissioner Troy A. Paredes

1860 days ago,(2012/02/24) - News Articles

News: SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria

1860 days ago,(2012/02/24) - News Articles

News: CFTC Chairman Genslers Statement Of Support Of The Dodd-Frank Rulemakings

1862 days ago,(2012/02/23) - News Articles

News: High-frequency trading raises concerns at SEC [Washington Post]

1862 days ago,(2012/02/23) - High Frequency Trading Review

News: SEC Charges China-Based Executives With Securities Fraud

1862 days ago,(2012/02/22) - News Articles

News: Direct Edge Market Data Notice #12-02: Market Data Fees

1863 days ago,(2012/02/22) - News Articles

News: SEC Charges Oregon-Based Expert Consulting Firm And Owner With Insider Trading In Technology Sector

1868 days ago,(2012/02/17) - News Articles

News: SEC Tightens Rules On Advisory Performance Fee Charges

1869 days ago,(2012/02/15) - News Articles

News: SIFMA Urges Rule 621 Framework Not Impair Recovery Of Securitization Markets

1871 days ago,(2012/02/13) - News Articles

News: Director Of L.A. Office Rosalind Tyson To Retire After 30 Years Of SEC Service

1871 days ago,(2012/02/13) - News Articles

News: SIFMA Offers Ideas To Reorient Proposed Volcker Rule Regulations

1871 days ago,(2012/02/13) - News Articles

News: SEC Charges California Hedge Fund Manager Connected To Galleon Insider Trading Case

1875 days ago,(2012/02/10) - News Articles

News: CFTC Issues Final Rule Amending Registration And Compliance Obligations For Commodity Pool Operators And Commodity Trading Advisors - Also Issues A Proposed Rule To Harmonize Compliance Obligations For Registered Investment Companies Required To Register As Commodity Pool Operators

1875 days ago,(2012/02/10) - News Articles

News: CFTC Chairman Gary Gensler: Statements Of Support, Amendments To Compliance Obligations And Harmonization Proposal

1875 days ago,(2012/02/09) - News Articles

News: SEC Charges Former Pharmaceutical Company Employee With Insider Trading On Biotech Deals

1876 days ago,(2012/02/09) - News Articles

News: CBOE Holdings, Inc. Reports Solid Fourth Quarter And Record Full-Year 2011 Financial Results

1876 days ago,(2012/02/09) - News Articles

News: CBOE Holdings, Inc. Announces Reorganization And Names New Officers

1876 days ago,(2012/02/08) - News Articles

News: SEC Charges Smith & Nephew PLC With Foreign Bribery

1879 days ago,(2012/02/06) - News Articles

News: SEC Names Jeanette M. Franzel To The Public Company Accounting Oversight Board

1881 days ago,(2012/02/03) - News Articles

News: Commodity Futures Trading Commission And Securities and Exchange Commission Release Joint Report To Congress On International Swap Regulation

1883 days ago,(2012/02/02) - News Articles

News: Statement Of Dissent To The CFTC-SEC Report On International Swap Regulation Pursuant To Section 719(c) Of The Dodd-Frank Act (the Report), CFTC Commissioner Scott D. OMalia

1883 days ago,(2012/02/02) - News Articles

News: ICE Reports Daily Futures Volume For January - $27 Trillion Cleared In CDS Globally To Date

1883 days ago,(2012/02/02) - News Articles

News: Direct Edge Regulatory Notice #12-02: Enhancements To Electronic Blue Sheet Submissions

1883 days ago,(2012/02/01) - News Articles

News: SEC Charges Former Credit Suisse Investment Bankers In Subprime Bond Pricing Scheme During Credit Crisis

1883 days ago,(2012/02/01) - News Articles

News: High-Frequency Trading Could Cause Another Flash Crash [Money Morning]

1884 days ago,(2012/02/01) - High Frequency Trading Review

News: European Commission Blocks Merger Between Deutsche Brse And NYSE Euronext - Deutsche Brse Achieves Substantial Earnings Growth In 2011/ Company Targeting Organic Growth/ Key Decisions For Further Growth Already Made

1884 days ago,(2012/02/01) - News Articles

News: Where Are We? And Where Should We Be? Thoughts On MF Global And High Frequency Trading - Address By CFTC Commissioner Scott D. OMalia At The Center On Financial Services Law Of New York Law School

1884 days ago,(2012/01/31) - News Articles

News: SEC Charges Brothers With Short Selling Violations

1884 days ago,(2012/01/31) - News Articles

News: SEC Charges Former Executives And Accountants With Fraud At British Subsidiary Of Medical Devices Company - SEC Obtains Settlements With CEO And CFO To Clawback Bonuses Under Sarbanes-Oxley Section 304

1885 days ago,(2012/01/30) - News Articles

News: ICE Clear Credit Launches Portfolio Margining Benefits For Clearing Participants

1885 days ago,(2012/01/30) - News Articles

News: Regulators Eye Exchange Technology [Wall Street Journal]

1886 days ago,(2012/01/30) - High Frequency Trading Review

News: Flow Traders looks to dispel HFT myths [Financial News]

1886 days ago,(2012/01/30) - High Frequency Trading Review

News: SEC Deputy Inspector General To Serve As Agencys Interim Inspector General

1888 days ago,(2012/01/28) - News Articles

News: Remarks Before The Domestic Trade Policy Committee Of The National Association Of Wheat Growers Winter Meeting, CFTC Commissioner Jill Sommers

1888 days ago,(2012/01/27) - News Articles

News: SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday

1889 days ago,(2012/01/26) - News Articles

News: SEC Charges Boiler Room Operators In Florida-Based Penny Stock Manipulation Scheme

1889 days ago,(2012/01/26) - News Articles

News: SEC Charges Latvian Trader In Pervasive Brokerage Account Hijacking Scheme - SEC Also Charges 12 Firms And Individuals For Extending Market Access Without Registering As Brokers

1889 days ago,(2012/01/26) - News Articles

News: Remarks By Commissioner Elisse B. Walter At The 2011 SEC Government-Business Forum On Small Business Capital Formation

1890 days ago,(2012/01/26) - News Articles

News: Statement Of Dissent To The CFTC-SEC Report On International Swap Regulation Pursuant To Section 719(c) Of The Dodd-Frank Act (the Report), CFTC Commissioner Scott D. OMalia

1891 days ago,(2012/01/25) - News Articles

News: Diamondback Capital Agrees To Settle SEC Insider Trading Charges

1893 days ago,(2012/01/23) - News Articles

News: SEC: Fee Rate Advisory #5 For Fiscal Year 2012

1895 days ago,(2012/01/20) - News Articles

News: NYSE To Suspend Trading In Eastman Kodak Company - Moves To Remove From The List

1896 days ago,(2012/01/19) - News Articles

News: SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds After Charging Them And Their Principal With Fraud

1897 days ago,(2012/01/18) - News Articles

News: SEC Charges Florida Bank Holding Company And CEO With Misleading Investors About Loan Risks During Financial Crisis

1897 days ago,(2012/01/18) - News Articles

News: SEC Seeks Public Comment For Financial Literacy Study Mandated By Dodd-Frank Act

1897 days ago,(2012/01/18) - News Articles

News: SEC Charges Fund Managers And Analysts In Insider Trading Scheme - Hedge Fund Firms Diamondback Capital And Level Global Also Charged

1897 days ago,(2012/01/18) - News Articles

News: Testimony By Federal Reserve Board Governor Daniel K. Tarullo On The Volcker Rule - Before The Subcommittee On Capital Markets And Government Sponsored Enterprises And The Subcommittee On Financial Institutions And Consumer Credit, Committee On Financial Services, U.S. House Of Representatives, Washington, D.C.

1898 days ago,(2012/01/18) - News Articles

News: Testimony Before The U.S. House Financial Services Subcommittees On Financial Institutions & Consumer Credit And Capital Markets & Government Sponsored Enterprises, Washington, DC, CFTC Chairman Gary Gensler

1898 days ago,(2012/01/18) - News Articles

News: SEC Names Jane Norberg As Deputy Chief Of Whistleblower Office

1898 days ago,(2012/01/17) - News Articles

News: SEC Inspector General H. David Kotz To Leave Commission

1898 days ago,(2012/01/17) - News Articles

News: SEC Charges UBS Global Asset Management For Pricing Violations In Mutual Fund Portfolios

1898 days ago,(2012/01/17) - News Articles

News: SEC Cracks Down to Prevent Another Flash Crash [The Fiscal Times]

1899 days ago,(2012/01/17) - High Frequency Trading Review

News: Statement At An Open Meeting Of The Commission To Consider The Public Company Accounting Oversight Boards Proposed 2012 Budget And Accounting Support Fee By SEC Commissioner Daniel M. Gallagher

1902 days ago,(2012/01/13) - News Articles

News: Insight: SEC tightens leash on exchanges post "flash crash" [Reuters]

1903 days ago,(2012/01/13) - High Frequency Trading Review

News: Texas-Based Accountant Pleads Guilty To Lying To SEC Investigators

1903 days ago,(2012/01/12) - News Articles

News: SEC Names Robert Fisher As Deputy Director In Office Of International Affairs

1903 days ago,(2012/01/12) - News Articles

News: Thai Bourse Launches Trading Alert List As A Trading Warning

1904 days ago,(2012/01/12) - News Articles

News: That It Was All Very Complicated. - Opening Statement Of CFTC Commissioner Scott D. OMalia, Open Meeting On Three Final Rules, One Proposed Rule, And One Delegation Of Authority Order

1904 days ago,(2012/01/11) - News Articles

News: Statement At Open Meeting To Approve PCAOB Budget By SEC Commissioner Luis A. Aguilar

1904 days ago,(2012/01/11) - News Articles

News: Statement of Support by CFTC Chairman Gary Gensler

1904 days ago,(2012/01/11) - News Articles

News: Thailand Clearing House Admits New Members

1906 days ago,(2012/01/10) - News Articles

News: CBOE Stock Exchange Completes Acquisition Of National Stock Exchange

1906 days ago,(2012/01/09) - News Articles

News: CFTC Chairman Names Vincente Martinez As Director Of Recently Opened Whistleblower Office

1909 days ago,(2012/01/06) - News Articles

News: Direct Edge Regulatory Notice #12-01: Market Making Rules And Obligations

1910 days ago,(2012/01/05) - News Articles

News: Direct Edge Market Maker Program Launching On January 17, 2012

1910 days ago,(2012/01/05) - News Articles

News: SEC: Administrative Law Judge Robert G. Mahony Retires After 46 Years Of Federal Service

1910 days ago,(2012/01/05) - News Articles

News: Thai Futures Exchange To Admit New Members

1911 days ago,(2012/01/05) - News Articles

News: SEC Charges Illinois-Based Adviser In Social Media Scam - Agency Issues Alerts On Social Media Risks For Investors And Firms

1911 days ago,(2012/01/04) - News Articles

News: SEC Charges Life Settlements Firm And Three Executives With Disclosure And Accounting Fraud - CEO And General Counsel Additionally Charged With Insider Trading

1912 days ago,(2012/01/03) - News Articles

News: SEC uncertain flash crash measures can work together effectively [The Trade News]

1912 days ago,(2012/01/03) - High Frequency Trading Review

News: The Glacial Response of the S.E.C. to the Rise of High-Speed Trading and Market Volatility [Huffington Post]

1912 days ago,(2012/01/03) - High Frequency Trading Review

News: SEC Names Pamela A. Gibbs As Director Of The Office Of Minority And Women Inclusion

1912 days ago,(2012/01/03) - News Articles

News: SEC Charges Magyar Telekom And Former Executives with Bribing Officials In Macedonia And Montenegro - Firm And Parent Company Agree To Pay $95 Million To Settle Civil And Criminal Charges

1918 days ago,(2011/12/29) - News Articles

News: SIFMA Statement On Volcker Rule Comment Period Extension

1923 days ago,(2011/12/23) - News Articles

News: SEC Charges Securities Trader With Cross-Border Fraudulent Interpositioning Scheme

1923 days ago,(2011/12/23) - News Articles

News: U.S. Agencies Extend Comment Period On Volcker Rule Proposal

1923 days ago,(2011/12/23) - News Articles

News: SEC Charges GE Funding Capital Market Services With Fraud Involving Municipal Bond Proceeds - Firm Agrees To Pay $70 Million In Settlement With SEC And Others

1924 days ago,(2011/12/23) - News Articles

News: Thai Bourse To Admit New Members

1924 days ago,(2011/12/23) - News Articles

News: Judge Orders Plastics Executive To Pay $49.5 Million In SEC Case

1924 days ago,(2011/12/22) - News Articles

News: ISE Introduces Latency Improvements in Optimise 2.0 Release {Press Release]

1925 days ago,(2011/12/22) - High Frequency Trading Review

News: SEC Adopts Net Worth Standard For Accredited Investors Under Dodd-Frank Act

1925 days ago,(2011/12/21) - News Articles

News: SEC Adopts Dodd-Frank Mine Safety Disclosure Requirements

1925 days ago,(2011/12/21) - News Articles

News: SEC Charges Executives At Clean Coal Technology Company For Misstatements To Investors

1925 days ago,(2011/12/21) - News Articles

News: Thai Bourse Announces Special Holiday On January 3, 2012

1926 days ago,(2011/12/21) - News Articles

News: SEC Charges California Company, Co-CEOs, And Attorney In Series Of Fraudulent Schemes Pumping Company Stock

1926 days ago,(2011/12/20) - News Articles

News: NYSEs retail plan aims to revitalise exchange trading [The Trade News]

1927 days ago,(2011/12/20) - High Frequency Trading Review

News: Top Stories 2011: Brokers' HFT Balancing Act [Traders Magazine]

1927 days ago,(2011/12/20) - High Frequency Trading Review

News: SEC Charges Longtime Madoff Employee With Falsifying Documents To Deceive Regulators

1927 days ago,(2011/12/19) - News Articles

News: Michael Garrity Named Head Of Examination Program In SEC's Boston Regional Office

1927 days ago,(2011/12/19) - News Articles

News: Thai Stock Market Flood Relief Fund Gears Up Post-Flood Relief Projects

1928 days ago,(2011/12/19) - News Articles

News: Shadows fall over dark pool trading practices [Financial Times]

1928 days ago,(2011/12/19) - High Frequency Trading Review

News: Regulatory round-up U.S. rules to know in 2012 [Reuters]

1928 days ago,(2011/12/19) - High Frequency Trading Review

News: SEC Charges Daniel Rudy Ruettiger And 12 Others In Scheme To Pump Stock In Sports Drink Company

1930 days ago,(2011/12/16) - News Articles

News: SEC Charges Former Fannie Mae And Freddie Mac Executives With Securities Fraud - Companies Agree To Cooperate In SEC Actions

1931 days ago,(2011/12/16) - News Articles

News: SEC Halts Father-Son Ponzi Scheme In Utah Involving Purported Real Estate Investments

1931 days ago,(2011/12/15) - News Articles

News: SEC Statement On Citigroup Case

1931 days ago,(2011/12/15) - News Articles

News: Testimony By FINRA Chairman And Chief Executive Officer, Richard G. Ketchum, Before The Subcommittee On Oversight And Investigations Committee On Financial Services

1932 days ago,(2011/12/15) - News Articles

News: SEC Charges Options Trader For Illegal Short Selling Tactics

1933 days ago,(2011/12/13) - News Articles

News: SEC Charges "Shell Packagers" And Several Others In Penny Stock Scheme

1934 days ago,(2011/12/12) - News Articles

News: Keynote Address Before Edison Electric Institute, CFTC Dodd Frank - Compliance Forum - CFTC Commissioner Scott D. OMalia

1934 days ago,(2011/12/12) - News Articles

News: SEC Beefs Up Market Structure Crimes Unit [Traders Magazine]

1938 days ago,(2011/12/09) - High Frequency Trading Review

News: SEC Names Lacey Dingman As Director Of The Office Of Human Resources

1938 days ago,(2011/12/08) - News Articles

News: Stephen Luparello, Vice Chairman FINRA, Testimony Before The Committee On Agriculture, U.S. House Of Representatives

1938 days ago,(2011/12/08) - News Articles

News: Luis A. Aguilar Sworn In For Second Term As SEC Commissioner

1938 days ago,(2011/12/08) - News Articles

News: SEC Charges Wachovia With Fraudulent Bid Rigging In Municipal Bond Proceeds - Wachovia Agrees To $148 Million Settlement With SEC And Other Authorities

1939 days ago,(2011/12/08) - News Articles

News: SEC Announces National Seminar For Compliance Officers And Senior Personnel At Investment Management Firms

1939 days ago,(2011/12/08) - News Articles

News: SEC Names Eric Pan As Associate Director In Office Of International Affairs

1940 days ago,(2011/12/06) - News Articles

News: SEC Halts Prime Bank Scheme By Washington D.C. Law Firm And Pennsylvania Company

1940 days ago,(2011/12/06) - News Articles

News: SEC Freezes Assets Of Four Chinese Citizens Charged With Insider Trading

1941 days ago,(2011/12/06) - News Articles

News: Testimony Before The U.S. Senate Committee On Banking, Housing And Urban Affairs, Washington, DC - CFTC Chairman Gary Gensler

1941 days ago,(2011/12/06) - News Articles

News: NYSE Sub-Penny Proposal Dead on Arrival, Knight's CEO says [Traders Magazine]

1942 days ago,(2011/12/05) - High Frequency Trading Review

News: Remarks At A Conference Hosted By The Office Of Financial Research And The Financial Stability Oversight Council - CFTC Chairman Gary Gensler

1944 days ago,(2011/12/02) - News Articles

News: SEC Charges Multiple Hedge Fund Managers With Fraud In Inquiry Targeting Suspicious Investment Returns

1945 days ago,(2011/12/01) - News Articles

News: SEC, U.S. Attorney And FBI Announce 13 Charged In Connection With Securities Kickback Schemes - SEC Suspends Trading In Seven Companies

1945 days ago,(2011/12/01) - News Articles

News: Testimony Before The US Senate Committee On Agriculture, Nutrition And Forestry, Washington, DC, CFTC Chairman Gary Gensler

1946 days ago,(2011/12/01) - News Articles

News: SEC Staff And FINRA Issue Risk Alert On Broker-Dealer Branch Office Inspections

1946 days ago,(2011/11/30) - News Articles

News: Keynote Address Of The 7th Annual FIA Asia Derivatives Conference - CFTC Commissioner Scott D. OMalia

1947 days ago,(2011/11/30) - News Articles

News: Kristin Snyder Named Head Of Examinations Program In SEC's San Francisco Regional Office

1947 days ago,(2011/11/29) - News Articles

News: Celoxica Launches Hardware-Accelerated In-Line Risk (AIR) Solution for Pre-Trade Risk Surveillance

1948 days ago,(2011/11/29) - Celoxica

News: SEC Penalizes Investment Advisers For Compliance Failures

1948 days ago,(2011/11/28) - News Articles

News: Thai Stock Market Flood Relief Fund Joins Red Cross To Aid Flood Victims

1949 days ago,(2011/11/28) - News Articles

News: Speech By SEC Commissioner Elisse B. Walter : Remarks At The Closing Of The International Institute For Securities Enforcement And Market Oversight

1954 days ago,(2011/11/23) - News Articles

News: Remarks Before The FINRA Institute At Wharton Certified Regulatory And Compliance Professional (CRCP) Program - SEC Commissioner Elisse B. Walter

1966 days ago,(2011/11/10) - News Articles

News: SEC Charges China-Based Longtop Financial Technologies For Deficient Filings

1966 days ago,(2011/11/10) - News Articles

News: SEC Charges UBS With Faulty Recordkeeping Related To Short Sales

1966 days ago,(2011/11/10) - News Articles

News: SEC Charges San Diego-Based Investment Adviser And Its President With Fraud

1966 days ago,(2011/11/10) - News Articles

News: Three Former Directors At Military Body Armor Supplier Settle SEC Charges

1966 days ago,(2011/11/10) - News Articles

News: Thai Bourse Updates On Progress Of Thai Stock Market Flood Relief Fund

1967 days ago,(2011/11/10) - News Articles

News: SEC Charges Feeders To Petters Ponzi Scheme

1967 days ago,(2011/11/09) - News Articles

News: SEC Announces Agenda And Speakers For Government-Business Forum On Small Business Capital Formation

1967 days ago,(2011/11/09) - News Articles

News: SEC Approves New Rules To Toughen Listing Standards For Reverse Merger Companies

1967 days ago,(2011/11/09) - News Articles

News: SEC Enforcement Division Produces Record Results In Safeguarding Investors And Markets - Agencys Fiscal Year Totals Show Most Enforcement Actions Filed In Single Year

1967 days ago,(2011/11/09) - News Articles

News: SEC Obtains Record $92.8 Million Penalty Against Raj Rajaratnam

1968 days ago,(2011/11/08) - News Articles

News: Remarks Before The SIFMA 2011 Annual Meeting - CFTC Chairman Gary Gensler

1969 days ago,(2011/11/07) - News Articles

News: Daniel Gallagher Sworn In As SEC Commissioner

1969 days ago,(2011/11/07) - News Articles

News: Testimony Before The U.S. Senate Homeland Security And Governmental Affairs, Permanent Subcommittee On Investigations, Washington, DC - CFTC Chairman Gary Gensler

1973 days ago,(2011/11/03) - News Articles

News: CBOE Holdings, Inc. Reports Record Third Quarter 2011 Volume, Revenues And Earnings

1973 days ago,(2011/11/03) - News Articles

News: SEC Announces Agenda And Panelists For Inaugural Roundtable Of Financial Reporting Series

1973 days ago,(2011/11/03) - News Articles

News: Remarks By FINRA's Chairman And CEO Rick Ketchum At The Research Center On The Prevention Of Financial Fraud 2011 Conference

1973 days ago,(2011/11/03) - News Articles

News: Experts Call For Greater Transparency in Dark Pools [Traders Magazine]

1974 days ago,(2011/11/03) - High Frequency Trading Review

News: NYSE To Suspend Trading In MF Global Holdings Ltd.- Moves To Remove From The List

1975 days ago,(2011/11/01) - News Articles

News: Bahamas International Securities Exchange Increases International Presence Through New International Recognition

1976 days ago,(2011/10/31) - News Articles

News: CFTC And SEC Approve Confidential Private Fund Risk Reporting

1976 days ago,(2011/10/31) - News Articles

News: Sifma Sounds Off On New Circuit Breaker Rules [Traders Magazine]

1977 days ago,(2011/10/31) - High Frequency Trading Review

News: Pipeline Settles With U.S. SEC Over Dark Pool Claims [Bloomberg]

1982 days ago,(2011/10/26) - High Frequency Trading Review

News: Broad-brush Volcker sweeps foreign and American banks alike [The Trade news]

1987 days ago,(2011/10/21) - High Frequency Trading Review

News: Welcome to the Machine: High-Frequency Trading Domination [Charles Schwab]

1990 days ago,(2011/10/18) - High Frequency Trading Review

News: SEC Announces Agenda And Panelists For Roundtable On Conflict Minerals

1993 days ago,(2011/10/14) - News Articles

News: SEC Sanctions Direct Edge Electronic Exchanges And Orders Remedial Measures To Strengthen Systems And Controls

1994 days ago,(2011/10/14) - News Articles

News: High Frequency Trades, Volcker Draft, Audits: Compliance [Bloomberg Businessweek]

1996 days ago,(2011/10/12) - High Frequency Trading Review

News: SEC, FINRA Investigating Firms Engaged in High-Frequency Trading [On Wall Street]

2029 days ago,(2011/09/09) - High Frequency Trading Review

News: WSJ: SEC Looks Into Effect Of ETFs On Market Volatility

2031 days ago,(2011/09/07) - High Frequency Trading Review

News: BAML offers high-speed, SEC-compliant market access

2071 days ago,(2011/07/29) - High Frequency Trading Review

News: Large trader system only the beginning SEC

2071 days ago,(2011/07/29) - High Frequency Trading Review

News: BofA Merrill Lynch Rolls Out High-Frequency Powered Trading Platform

2074 days ago,(2011/07/26) - High Frequency Trading Review

Bernard Madoff Fraud - in Quotations

MoneyScience 2171 days ago,(2011/04/20)