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Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
FMAS:24 Session Spotlight – Becoming a Pro Trader: Tools,
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
FMAS:24 Session Spotlight – Becoming a Pro Trader: Tools,
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Regulation
Mary Jo White Urges Harmonization of Broker-Dealer Rules in the US
Conflict of interest rules are to be devised by a growing number of U.S. regulatory agencies.
Tuesday, 22/03/2016 | 23:42 GMT
by
Victor Golovtchenko
Brokers
GAIN Capital Delays Annual Report over Tax Accounting Error
Misstated amounts for 2013, 2014, and Q1, Q2 and Q3 in 2015 were restated and thus causing the late filing.
Wednesday, 16/03/2016 | 21:25 GMT
by
Steven Hatzakis
Regulation
Ponzi Scheme Operator Charged For Jamaican Bridge Loans Scheme
SEC Charges Operator Of Ponzi Scheme Claiming To Offer “Bridge Loans” To Jamaican Businesses
Tuesday, 15/03/2016 | 21:35 GMT
by
Finance Magnates Staff
Regulation
SEC Impersonators Sift For Fees in Banc De Binary Settlement
The SEC has issued an alert after entities impersonating the regulator requested that clients to pay a fee for settlements.
Wednesday, 09/03/2016 | 19:21 GMT
by
Jeff Patterson
Regulation
Bats Granted SEC Approval to Combat Manipulative Market Behavior
The newly granted SEC ruling allows Bats to explicitly address disruptive quoting and trading practices across its exchanges.
Tuesday, 23/02/2016 | 17:03 GMT
by
Jeff Patterson
Regulation
US Tech Company Fined $28 Million over Chinese Officials Bribe
Chinese corruption binge brought onshore by an SEC investigation.
Tuesday, 16/02/2016 | 19:47 GMT
by
Steven Hatzakis
Exchanges
Dark Pool Dive: Beyond BarCap and Credit Suisse Fines
Neither wrongdoing nor regulation seems to put off the buy side from dark trading.
Friday, 05/02/2016 | 18:10 GMT
by
Anna Reitman
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Education Center
How We Fared in Our 2015 Crypto Predictions
We anticipated the evolution of 'Bitcoin 2.0', but had no idea that 2015 would become the year of the blockchain.
Tuesday, 29/12/2015 | 09:31 GMT
by
Leon Pick
News
Lawyer: Trendon Shavers Was Scapegoat for SEC's Madoff Ponzi Miss
The lawyer representing the man accused of running the first Bitcoin Ponzi says his client was the target of unjustified zeal from the SEC.
Monday, 21/12/2015 | 15:46 GMT
by
Leon Pick
Regulation
JPMorgan Settles with US Regulators for $367 million Over Conflicts of Interest
The U.S. bank has agreed to pay for violating the requirement to disclose conflicts of interest to some of its private banking clients.
Friday, 18/12/2015 | 18:07 GMT
by
Victor Golovtchenko
News
SEC Approves Overstock's Bid to Issue Stock Over Bitcoin Blockchain
The advent of a security labelled and tracked over the blockchain could potentially transform the playing field in the long term.
Wednesday, 16/12/2015 | 17:18 GMT
by
Leon Pick
News
SEC Charges Josh Garza with Fraud for GAW, ZenMiner Scams
The SEC has formally charged Josh Garza (Homero Joshua Garza) with fraud stemming from his operation of GAW Miners.
Tuesday, 01/12/2015 | 17:56 GMT
by
Leon Pick
Regulation
SEC Charges Ex-Goldman Sachs Employee with Insider Trading
Yue Hun abused his access to confidential advisory information gained while developing a misconduct monitoring system.
Thursday, 26/11/2015 | 08:05 GMT
by
Irina Slav
Crowd Funding
StartEngine Gains SEC Approval to Sell $25M in Elio Motors Shares
StartEngine gains SEC approval for one of the largest crowdfunding campaigns of all time.
Monday, 23/11/2015 | 09:40 GMT
by
Ron Finberg
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Regulation
New SEC Rules for Dark Pools Will Expose Conflicts of Interest
The proposed amendments would enhance transparency and oversight of alternative trading systems.
Wednesday, 18/11/2015 | 21:59 GMT
by
Avi Mizrahi
Regulation
SEC Charges Trader with Stock Manipulation Over False Tweets
James Alan Craig causes a crash in the stock prices of two US-listed companies but failed to benefit from it
Friday, 06/11/2015 | 14:11 GMT
by
Irina Slav
Regulation
FBI Arrests Three More People Involved in Securities Fraud
Four “pump-and-dump” stock price manipulation schemes investigated by FBI and SEC
Thursday, 05/11/2015 | 12:51 GMT
by
Irina Slav
Crowd Funding
KoreConX Launches Equity Crowdfunding Solution Following Title III Passage
The newly launched solution will help streamline a number of crowdfunding tasks for companies, reducing fees by corporate documentation
Thursday, 05/11/2015 | 09:36 GMT
by
Jeff Patterson
Regulation
UBS to Pay $19.5 Million Over Hedging Own FX Index
SEC: UBS employees were engaging in practices that had or could have had a negative impact on the price inputs used to calculate the V10 index.
Tuesday, 13/10/2015 | 19:50 GMT
by
Avi Mizrahi
News
SEC Sues Carlos Garza, Investigating If GAW Miners Was Ponzi Scheme
The SEC has sued Carlos Garza, a former employee of defunct GAW Miners and brother of former CEO Josh Garza.
Wednesday, 19/08/2015 | 10:15 GMT
by
Leon Pick
Regulation
As Hacking Scheme Ties Revealed, Concorde Postpones 'Forex Trend 2.0' Launch
'Forex Trend 2.0' has been formally postponed, just one week after Concorde Capital found itself facing SEC charges for fraud.
Monday, 17/08/2015 | 13:28 GMT
by
Jeff Patterson
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Regulation
Dark Days Ahead for Dark Pool Users as SEC Charges ITG with Misconduct
The SEC has charged ITG with operating a secret trading desk and misusing the confidential trading information of dark pool subscribers.
Wednesday, 12/08/2015 | 15:11 GMT
by
Jeff Patterson
Regulation
Credit Suisse In Settlement Talks With SEC Over Dark Pool Misconduct
Credit Suisse is locked in settlement talks with US regulators over what could be a record fine levied for dark pool wrongdoing.
Tuesday, 11/08/2015 | 19:26 GMT
by
Jeff Patterson
Exchanges
SEC Approves BATS’ Q4 Launch Of EDGX Options Market
BATS’ EDGX Options is slated to open on November 2, 2015, which will be based in large part on a customer priority/pro rata allocation model
Monday, 10/08/2015 | 15:29 GMT
by
Jeff Patterson
Regulation
SEC Votes for Mandatory Reporting of CEO Salaries
The Securities and Exchange Commission has voted 3-2 in favour of a new ruling that requires listed firms to produce pay ratios.
Wednesday, 05/08/2015 | 17:03 GMT
by
Andy Traveller
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