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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 Börse AG

2496 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

2525 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

2529 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

2537 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

2537 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

2539 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

2540 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

2540 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

2540 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

2483 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

2481 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 SEC’s Division of Enforcement, U.S. Securities And Exchange Commission

2481 days ago,(2012/02/02) - News Articles

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

2470 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

2469 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

2454 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

2448 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

2448 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

2446 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

2442 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

2433 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

2399 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

2398 days ago,(2012/04/25) - News Articles

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

2393 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

2390 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

2386 days ago,(2012/05/07) - News Articles

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

1971 days ago,(2013/06/26) - UBS.

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

2187 days ago,(2012/11/22) - HFT Review

News: Exchanges Get Closer Inspection [Wall Street Journal]

2189 days ago,(2012/11/20) - HFT Review

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

2195 days ago,(2012/11/14) - HFT Review

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

2201 days ago,(2012/11/08) - HFT Review

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

2223 days ago,(2012/10/17) - HFT Review

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

2228 days ago,(2012/10/12) - HFT Review

News: SIFMA Blasts Nasdaq’s Algo Plan [Traders Magazine]

2229 days ago,(2012/10/12) - HFT Review

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

2233 days ago,(2012/10/08) - HFT Review

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

2235 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]

2237 days ago,(2012/10/03) - HFT Review

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

2237 days ago,(2012/10/03) - HFT Review

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

2238 days ago,(2012/10/03) - HFT Review

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

2239 days ago,(2012/10/01) - HFT Review

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

2239 days ago,(2012/10/01) - HFT Review

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

2243 days ago,(2012/09/28) - HFT Review

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

2243 days ago,(2012/09/28) - HFT Review

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

2254 days ago,(2012/09/17) - HFT Review

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

2254 days ago,(2012/09/17) - HFT Review

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

2254 days ago,(2012/09/17) - HFT Review

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

2270 days ago,(2012/08/31) - HFT Review

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

2271 days ago,(2012/08/30) - HFT Review

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

2288 days ago,(2012/08/13) - HFT Review

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

2288 days ago,(2012/08/13) - HFT Review

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

2309 days ago,(2012/07/23) - HFT Review

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

2314 days ago,(2012/07/18) - HFT Review

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

2319 days ago,(2012/07/13) - HFT Review

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

2319 days ago,(2012/07/13) - HFT Review

News: Circuit Breakers Get Tightening [Traders Magazine]

2319 days ago,(2012/07/13) - HFT Review

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

2342 days ago,(2012/06/20) - HFT Review

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

2347 days ago,(2012/06/15) - News Articles

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

2347 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 Treasury’s Continued Efforts To Wind Down TARP’s Bank Programs - Proceeds Deliver Additional Profit For Taxpayers On TARP’s Bank Programs

2348 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

2348 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

2349 days ago,(2012/06/13) - News Articles

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

2350 days ago,(2012/06/12) - News Articles

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

2350 days ago,(2012/06/12) - News Articles

News: SEC Issues “Roadmap” On Phase In Of Derivatives Regulation

2351 days ago,(2012/06/11) - News Articles

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

2355 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

2356 days ago,(2012/06/06) - News Articles

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

2356 days ago,(2012/06/06) - News Articles

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

2356 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 - HFA’s Regulatory And Government Advisory Board Chair Richard Heller Says JOBS Act Capital Formation Provision Is “Fundamental” To Growth

2356 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

2357 days ago,(2012/06/06) - News Articles

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

2361 days ago,(2012/06/01) - News Articles

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

2361 days ago,(2012/06/01) - News Articles

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

2361 days ago,(2012/06/01) - News Articles

News: “Smart Regulatory Reform And The Perils Of High-Frequency Regulation” - Remarks By Commissioner Scott D. O’Malia At MarkitSERV’s 2012 Outlook For OTC Markets, New York City, New York

2362 days ago,(2012/05/31) - News Articles

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

2362 days ago,(2012/05/31) - High Frequency Trading Review

News: PMEX Holds Technical Training Workshops In Lahore And Islamabad

2363 days ago,(2012/05/31) - News Articles

News: Jon Rymer Named Interim Inspector General

2363 days ago,(2012/05/30) - News Articles

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

2363 days ago,(2012/05/30) - News Articles

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

2363 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

2364 days ago,(2012/05/29) - News Articles

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

2368 days ago,(2012/05/25) - News Articles

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

2368 days ago,(2012/05/25) - High Frequency Trading Review

News: SEC Bars Former Staffer From Practice Before The Commission

2369 days ago,(2012/05/24) - News Articles

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

2369 days ago,(2012/05/24) - News Articles

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

2370 days ago,(2012/05/24) - News Articles

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

2371 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

2371 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

2371 days ago,(2012/05/22) - News Articles

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

2372 days ago,(2012/05/21) - News Articles

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

2372 days ago,(2012/05/21) - News Articles

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

2372 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

2372 days ago,(2012/05/21) - News Articles

News: James McNamara Named Managing Executive Of SEC’s Division Of Trading And Markets

2375 days ago,(2012/05/18) - News Articles

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

2376 days ago,(2012/05/17) - News Articles

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

2376 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

2376 days ago,(2012/05/17) - News Articles

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

2376 days ago,(2012/05/17) - News Articles

News: ASIC Chief Elected Chair Of IOSCO Board

2376 days ago,(2012/05/17) - News Articles

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

2377 days ago,(2012/05/16) - News Articles

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

2377 days ago,(2012/05/16) - News Articles

News: FINRA Enhances BrokerCheck Capabilities

2377 days ago,(2012/05/16) - News Articles

News: FINRA Warns Investors Of Nutraceutical Stock Scams

2377 days ago,(2012/05/16) - News Articles

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

2379 days ago,(2012/05/14) - News Articles

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

2379 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

2379 days ago,(2012/05/14) - News Articles

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

2379 days ago,(2012/05/14) - News Articles

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

2382 days ago,(2012/05/11) - High Frequency Trading Review

News: JPMorgan Announces USD2 Billion Trading Loss

2383 days ago,(2012/05/11) - News Articles

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

2383 days ago,(2012/05/10) - News Articles

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

2383 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. O’Malia

2383 days ago,(2012/05/10) - News Articles

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

2383 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

2383 days ago,(2012/05/10) - News Articles

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

2384 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

2384 days ago,(2012/05/09) - News Articles

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

2384 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

2384 days ago,(2012/05/09) - News Articles

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

2384 days ago,(2012/05/09) - News Articles

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

2385 days ago,(2012/05/08) - News Articles

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

2386 days ago,(2012/05/07) - News Articles

News: Joint Statement On Regulation Of OTC Derivatives Markets

2386 days ago,(2012/05/07) - News Articles

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

2386 days ago,(2012/05/07) - High Frequency Trading Review

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

2386 days ago,(2012/05/07) - News Articles

News: U.S. Treasury Announces Public Offering

2389 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

2390 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

2390 days ago,(2012/05/03) - News Articles

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

2391 days ago,(2012/05/02) - News Articles

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

2391 days ago,(2012/05/02) - News Articles

News: SEC Charges Florida Stock Scheme Mastermind And 10 Cohorts

2391 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

2391 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

2392 days ago,(2012/05/01) - News Articles

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

2392 days ago,(2012/05/01) - News Articles

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

2393 days ago,(2012/04/30) - News Articles

News: George Canellos Named Deputy Director Of SEC Enforcement Division

2393 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

2393 days ago,(2012/04/30) - News Articles

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

2396 days ago,(2012/04/27) - News Articles

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

2396 days ago,(2012/04/27) - News Articles

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

2398 days ago,(2012/04/25) - News Articles

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

2398 days ago,(2012/04/25) - News Articles

News: CBOE Holdings Declares Second Quarter 2012 Dividend

2398 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

2399 days ago,(2012/04/24) - News Articles

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

2399 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

2399 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

2399 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

2400 days ago,(2012/04/23) - News Articles

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

2400 days ago,(2012/04/23) - News Articles

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

2403 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

2403 days ago,(2012/04/20) - News Articles

News: US. Agencies - Volcker Rule Conformance Period Clarified

2404 days ago,(2012/04/19) - News Articles

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

2404 days ago,(2012/04/19) - News Articles

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

2404 days ago,(2012/04/19) - News Articles

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

2405 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

2405 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

2405 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. O’Malia

2405 days ago,(2012/04/18) - News Articles

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

2405 days ago,(2012/04/18) - High Frequency Trading Review

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

2405 days ago,(2012/04/18) - News Articles

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

2405 days ago,(2012/04/18) - News Articles

News: Thai Bourse, Brokerages Move To Improve Service Quality

2405 days ago,(2012/04/18) - News Articles

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

2406 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]

2407 days ago,(2012/04/16) - High Frequency Trading Review

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

2407 days ago,(2012/04/16) - High Frequency Trading Review

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

2419 days ago,(2012/04/04) - High Frequency Trading Review

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

2424 days ago,(2012/03/30) - News Articles

News: CFTC Technology Advisory Committee - Opening Statement By Commissioner Scott D. O’Malia

2425 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

2426 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”

2426 days ago,(2012/03/28) - News Articles

News: CFTC’s Division Of Market Oversight Issues Advisory Addressing Bona Fide Hedge Transactions And Positions

2427 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

2428 days ago,(2012/03/26) - News Articles

News: DTCC’s AIP Service Set To Help Broker/Dealers With Possession And Control Requirements

2428 days ago,(2012/03/26) - News Articles

News: SEC Charges Medical Device Company Biomet With Foreign Bribery

2428 days ago,(2012/03/26) - News Articles

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

2429 days ago,(2012/03/26) - News Articles

News: SEC Probes Rapid Trading [Wall Street Journal]

2429 days ago,(2012/03/25) - High Frequency Trading Review

News: SEC Establishes New Supervisory Cooperation Arrangements With Foreign Counterparts

2431 days ago,(2012/03/23) - News Articles

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

2432 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"

2432 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

2432 days ago,(2012/03/22) - News Articles

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

2432 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

2433 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

2433 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

2433 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

2434 days ago,(2012/03/20) - News Articles

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

2435 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

2435 days ago,(2012/03/19) - News Articles

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

2438 days ago,(2012/03/16) - News Articles

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

2438 days ago,(2012/03/16) - News Articles

News: CFTC Targets Rapid Trades [Wall Street Journal]

2438 days ago,(2012/03/16) - High Frequency Trading Review

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

2439 days ago,(2012/03/15) - News Articles

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

2439 days ago,(2012/03/15) - News Articles

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

2439 days ago,(2012/03/15) - News Articles

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

2439 days ago,(2012/03/15) - News Articles

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

2440 days ago,(2012/03/14) - News Articles

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

2441 days ago,(2012/03/13) - News Articles

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

2441 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

2441 days ago,(2012/03/13) - News Articles

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

2446 days ago,(2012/03/08) - News Articles

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

2446 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 CFTC’s Nationwide Sweep Against Foreign Currency Firms For Failure To Register Under The 2008 Farm Bill, The Dodd-Frank Act, And CFTC Regulations

2447 days ago,(2012/03/07) - News Articles

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

2447 days ago,(2012/03/07) - News Articles

News: Direct Edge Introduces Message Efficiency Incentive Program

2447 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

2447 days ago,(2012/03/07) - News Articles

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

2447 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

2448 days ago,(2012/03/06) - News Articles

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

2448 days ago,(2012/03/06) - News Articles

News: Marshall Gandy Named Head Of Examinations Program In SEC’s Fort Worth Regional Office

2452 days ago,(2012/03/02) - News Articles

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

2452 days ago,(2012/03/02) - News Articles

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

2453 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

2454 days ago,(2012/02/29) - News Articles

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

2455 days ago,(2012/02/28) - News Articles

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

2455 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

2455 days ago,(2012/02/28) - Redline Trading Solutions

News: SEC Releases Risk Alert On Unauthorized Trading

2456 days ago,(2012/02/27) - News Articles

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

2456 days ago,(2012/02/27) - News Articles

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

2456 days ago,(2012/02/27) - High Frequency Trading Review

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

2456 days ago,(2012/02/27) - High Frequency Trading Review

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

2458 days ago,(2012/02/25) - News Articles

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

2459 days ago,(2012/02/24) - News Articles

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

2459 days ago,(2012/02/24) - News Articles

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

2459 days ago,(2012/02/24) - News Articles

News: CFTC Chairman Gensler’s Statement Of Support Of The Dodd-Frank Rulemakings

2460 days ago,(2012/02/23) - News Articles

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

2460 days ago,(2012/02/23) - High Frequency Trading Review

News: SEC Charges China-Based Executives With Securities Fraud

2461 days ago,(2012/02/22) - News Articles

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

2461 days ago,(2012/02/22) - News Articles

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

2466 days ago,(2012/02/17) - News Articles

News: SEC Tightens Rules On Advisory Performance Fee Charges

2468 days ago,(2012/02/15) - News Articles

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

2470 days ago,(2012/02/13) - News Articles

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

2470 days ago,(2012/02/13) - News Articles

News: SIFMA Offers Ideas To Reorient Proposed Volcker Rule Regulations

2470 days ago,(2012/02/13) - News Articles

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

2473 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

2473 days ago,(2012/02/10) - News Articles

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

2474 days ago,(2012/02/09) - News Articles

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

2474 days ago,(2012/02/09) - News Articles

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

2474 days ago,(2012/02/09) - News Articles

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

2475 days ago,(2012/02/08) - News Articles

News: SEC Charges Smith & Nephew PLC With Foreign Bribery

2477 days ago,(2012/02/06) - News Articles

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

2480 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

2481 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. O’Malia

2481 days ago,(2012/02/02) - News Articles

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

2481 days ago,(2012/02/02) - News Articles

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

2482 days ago,(2012/02/01) - News Articles

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

2482 days ago,(2012/02/01) - News Articles

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

2482 days ago,(2012/02/01) - High Frequency Trading Review

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

2482 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. O’Malia At The Center On Financial Services Law Of New York Law School

2483 days ago,(2012/01/31) - News Articles

News: SEC Charges Brothers With Short Selling Violations

2483 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

2484 days ago,(2012/01/30) - News Articles

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

2484 days ago,(2012/01/30) - News Articles

News: Regulators Eye Exchange Technology [Wall Street Journal]

2484 days ago,(2012/01/30) - High Frequency Trading Review

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

2484 days ago,(2012/01/30) - High Frequency Trading Review

News: SEC Deputy Inspector General To Serve As Agency’s Interim Inspector General

2486 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

2487 days ago,(2012/01/27) - News Articles

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

2488 days ago,(2012/01/26) - News Articles

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

2488 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

2488 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

2488 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. O’Malia

2489 days ago,(2012/01/25) - News Articles

News: Diamondback Capital Agrees To Settle SEC Insider Trading Charges

2491 days ago,(2012/01/23) - News Articles

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

2494 days ago,(2012/01/20) - News Articles

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

2495 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

2496 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

2496 days ago,(2012/01/18) - News Articles

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

2496 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

2496 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.

2496 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

2496 days ago,(2012/01/18) - News Articles

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

2497 days ago,(2012/01/17) - News Articles

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

2497 days ago,(2012/01/17) - News Articles

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

2497 days ago,(2012/01/17) - News Articles

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

2497 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 Board’s Proposed 2012 Budget And Accounting Support Fee By SEC Commissioner Daniel M. Gallagher

2501 days ago,(2012/01/13) - News Articles

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

2501 days ago,(2012/01/13) - High Frequency Trading Review

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

2502 days ago,(2012/01/12) - News Articles

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

2502 days ago,(2012/01/12) - News Articles

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

2502 days ago,(2012/01/12) - News Articles

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

2503 days ago,(2012/01/11) - News Articles

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

2503 days ago,(2012/01/11) - News Articles

News: Statement of Support by CFTC Chairman Gary Gensler

2503 days ago,(2012/01/11) - News Articles

News: Thailand Clearing House Admits New Members

2505 days ago,(2012/01/10) - News Articles

News: CBOE Stock Exchange Completes Acquisition Of National Stock Exchange

2505 days ago,(2012/01/09) - News Articles

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

2508 days ago,(2012/01/06) - News Articles

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

2509 days ago,(2012/01/05) - News Articles

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

2509 days ago,(2012/01/05) - News Articles

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

2509 days ago,(2012/01/05) - News Articles

News: Thai Futures Exchange To Admit New Members

2509 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

2510 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

2511 days ago,(2012/01/03) - News Articles

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

2511 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]

2511 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

2511 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

2516 days ago,(2011/12/29) - News Articles

News: SIFMA Statement On Volcker Rule Comment Period Extension

2522 days ago,(2011/12/23) - News Articles

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

2522 days ago,(2011/12/23) - News Articles

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

2522 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

2522 days ago,(2011/12/23) - News Articles

News: Thai Bourse To Admit New Members

2522 days ago,(2011/12/23) - News Articles

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

2523 days ago,(2011/12/22) - News Articles

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

2523 days ago,(2011/12/22) - High Frequency Trading Review

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

2524 days ago,(2011/12/21) - News Articles

News: SEC Adopts Dodd-Frank Mine Safety Disclosure Requirements

2524 days ago,(2011/12/21) - News Articles

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

2524 days ago,(2011/12/21) - News Articles

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

2525 days ago,(2011/12/21) - News Articles

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

2525 days ago,(2011/12/20) - News Articles

News: NYSE’s retail plan aims to revitalise exchange trading [The Trade News]

2525 days ago,(2011/12/20) - High Frequency Trading Review

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

2525 days ago,(2011/12/20) - High Frequency Trading Review

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

2526 days ago,(2011/12/19) - News Articles

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

2526 days ago,(2011/12/19) - News Articles

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

2526 days ago,(2011/12/19) - News Articles

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

2526 days ago,(2011/12/19) - High Frequency Trading Review

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

2526 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

2529 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

2529 days ago,(2011/12/16) - News Articles

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

2530 days ago,(2011/12/15) - News Articles

News: SEC Statement On Citigroup Case

2530 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

2530 days ago,(2011/12/15) - News Articles

News: SEC Charges Options Trader For Illegal Short Selling Tactics

2532 days ago,(2011/12/13) - News Articles

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

2533 days ago,(2011/12/12) - News Articles

News: Keynote Address Before Edison Electric Institute, CFTC – Dodd Frank - Compliance Forum - CFTC Commissioner Scott D. O’Malia

2533 days ago,(2011/12/12) - News Articles

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

2536 days ago,(2011/12/09) - High Frequency Trading Review

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

2537 days ago,(2011/12/08) - News Articles

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

2537 days ago,(2011/12/08) - News Articles

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

2537 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

2537 days ago,(2011/12/08) - News Articles

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

2537 days ago,(2011/12/08) - News Articles

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

2539 days ago,(2011/12/06) - News Articles

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

2539 days ago,(2011/12/06) - News Articles

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

2539 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

2539 days ago,(2011/12/06) - News Articles

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

2540 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

2543 days ago,(2011/12/02) - News Articles

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

2544 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

2544 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

2544 days ago,(2011/12/01) - News Articles

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

2545 days ago,(2011/11/30) - News Articles

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

2545 days ago,(2011/11/30) - News Articles

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

2546 days ago,(2011/11/29) - News Articles

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

2547 days ago,(2011/11/29) - Celoxica

News: SEC Penalizes Investment Advisers For Compliance Failures

2547 days ago,(2011/11/28) - News Articles

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

2547 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

2552 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

2565 days ago,(2011/11/10) - News Articles

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

2565 days ago,(2011/11/10) - News Articles

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

2565 days ago,(2011/11/10) - News Articles

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

2565 days ago,(2011/11/10) - News Articles

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

2565 days ago,(2011/11/10) - News Articles

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

2566 days ago,(2011/11/10) - News Articles

News: SEC Charges Feeders To Petters Ponzi Scheme

2566 days ago,(2011/11/09) - News Articles

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

2566 days ago,(2011/11/09) - News Articles

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

2566 days ago,(2011/11/09) - News Articles

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

2566 days ago,(2011/11/09) - News Articles

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

2567 days ago,(2011/11/08) - News Articles

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

2568 days ago,(2011/11/07) - News Articles

News: Daniel Gallagher Sworn In As SEC Commissioner

2568 days ago,(2011/11/07) - News Articles

Bernard Madoff Fraud - in Quotations

MoneyScience 2769 days ago,(2011/04/20)