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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Investing
SEC Allows Tweeting and Social Media for Fundraising
Private companies raising up to $50M got the green light from the SEC to use social media to promote their fundraising to investors
Monday, 29/06/2015 | 10:50 GMT
by
Ron Finberg
Crowd Funding
It’s Friday the 19th – Regulation A+ for Crowdfunding Goes into Effect
Equity crowdfunding for non-accredited investors in the US became legal today with Title IV of the JOBS Act, going into effect today.
Friday, 19/06/2015 | 10:01 GMT
by
Ron Finberg
Regulation
SEC Goes after Adviser Who Allegedly Stole $300,000 from Mike Tyson
SFX Financial Advisory Management Enterprises specializes in providing financial management services to professional athletes
Monday, 15/06/2015 | 20:22 GMT
by
Avi Mizrahi
Regulation
Major Banks on the Hook for Another $6 Bln in Forex Settlements
Barclays, Citigroup, JPMorgan Chase, RBS and UBS are expected to contribute $6 billon more to settle with U.S Department of Justice
Friday, 15/05/2015 | 20:16 GMT
by
Victor Golovtchenko
News
Overstock Intending to Issue Digital Securities in $500M SEC Filing
Overstock.com is looking to forge ahead with its bold plans for "cryptosecurities" detailing its plans in a recent filing with the SEC.
Tuesday, 28/04/2015 | 10:52 GMT
by
Leon Pick
Blogs
Stephonomics: FX Market Analysis: 'Last Look or Do Over’
In this blog analysis, Stephen Simonis takes a look at what is being debating in regards to ‘last look’ policies in the FX market
Tuesday, 14/04/2015 | 09:42 GMT
by
Stephen Simonis Senior
Crowd Funding
Should you be Excited about Retail Equity Crowdfunding Arriving to the US?
The SEC released rules for Title IV of the JOBS Act which paves the way for retail equity crowdfunding in the US this June.
Monday, 06/04/2015 | 13:06 GMT
by
Ron Finberg
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Analysis
SEC Charges Unregistered Broker-Dealer Partners of Global Fixed Income
Global Fixed Income had effectively hired 21 unregistered broker-dealers to buy billions of dollars worth of newly issued bonds illegally between July 2009 and June 2012, promoting a $5 million settlement with the SEC.
Thursday, 26/03/2015 | 17:55 GMT
by
Victor Golovtchenko
Analysis
New US SEC Rule to Target HFT Proprietary Trading Shops
The U.S. financial regulator is proposing a new rule requiring active broker-dealers trading off-exchange products to become members of a national securities association, thereby enhancing regulatory oversight.
Thursday, 26/03/2015 | 11:10 GMT
by
Victor Golovtchenko
News
Missouri Man Fined $30K Plus Disgorgement for Selling Stakes in Mining Earnings
Wednesday, 11/03/2015 | 12:51 GMT
by
Leon Pick
Brokers
Alpari UK Depositors Reassured while US Investigates Last-Look Practice
Alpari UK depositors to be compensated up to £50,000, GAIN Capital's post-acquisition earnings, forex trading dangers, FastMatch offering free brokerage to certain clients and a last-look probe in this week's roundup.
Sunday, 08/03/2015 | 13:40 GMT
by
Kenny Mariasin
Execution
American Authorities Are Having a Look at Banks'"Last Look"
The U.S Justice Department and the Securities and Exchange Commission are investigating Barclays Plc over the procedure of last look allowing the bank to requote orders at the expense of its clients.
Tuesday, 03/03/2015 | 22:18 GMT
by
Avi Mizrahi
Analysis
Purported Venture Capital Fund Manager Charged By SEC with Fraud
Operating in a Ponzi-like fashion, Gregory Gray Jr. and his firms, Archipel Capital LLC and BIM Management LP, have allegedly defrauded a number of investors who were supposedly purchasing Twitter and Uber shares.
Saturday, 28/02/2015 | 14:29 GMT
by
Victor Golovtchenko
Analysis
Former ConvergEx CEO Craig Lax Settles with the SEC for $783,000
The former chief executive of the U.S. brokerage has admitted wrongdoing and settled with authorities, as under his tenure the company mislead investors to get charged substantially above stated commissions.
Tuesday, 10/02/2015 | 22:21 GMT
by
Victor Golovtchenko
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News
Swarm Advised That Crowdsale Model Falls under Securities Laws, Seeks "Distributed Collaborative Organizations"
Tuesday, 10/02/2015 | 16:24 GMT
by
Leon Pick
News
SEC Formed a Dedicated 'Digital Currency Working Group', Credited for Recent Investigation
Monday, 19/01/2015 | 14:41 GMT
by
Leon Pick
Exchanges
US Watchdog SEC Issues $14 Million Monetary Fine to Direct Edge
The SEC has issued a financial penalty against two US exchanges that were operated by Direct Edge. The venues were fined $14 million for failing to properly describe order types.
Monday, 12/01/2015 | 19:11 GMT
by
Adil Siddiqui
News
Reports: Winklevoss Bitcoin Trust Files to Sell 20.1 Million Shares on Nasdaq
Wednesday, 31/12/2014 | 14:44 GMT
by
Leon Pick
Exchanges
SEC Fines Operator of Bitcoin and Litecoin-Based "Securities" Exchanges $58,000
Tuesday, 09/12/2014 | 13:25 GMT
by
Leon Pick
Analysis
Social Media Sellers Get Busted as SEC Charges for FX & Investment Fraud
US regulator has charged two Indian-based fraudsters & their firm for their involvement in a high-yield investment scheme that offered guaranteed returns. The firm was caught-out for its mis-selling on social media.
Wednesday, 12/11/2014 | 20:39 GMT
by
Adil Siddiqui
Regulation
FINRA & SEC Issue Investor Warning on Penny Stock Fraudsters
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy has released a warning to investors over volatile penny stocks.
Thursday, 30/10/2014 | 17:53 GMT
by
Jeff Patterson
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News
Bitcoin 2.0 leaders deny reports of SEC action: "We do software, not securities"
Wednesday, 29/10/2014 | 13:04 GMT
by
Leon Pick
News
Former SEC Chairman Arthur Levitt to serve as advisor to BitPay, Vaurum
Tuesday, 28/10/2014 | 16:01 GMT
by
Leon Pick
Analysis
Social Media Messages of Probed FX Traders to Be Accessed by EU Investigators
Investigators at the helm of the ongoing antitrust probe by the EU’s European Commission have allegedly requested access to the Facebook personal messages of FX traders working at major banks involved.
Tuesday, 28/10/2014 | 00:16 GMT
by
Victor Golovtchenko
Technology
State Street Sees Positive Growth-Operating Revenues, FX Trading & Brokerage Fees in the Green
State Street has reported operating metrics for the third quarter of 2014. The bank saw an uptake in its revenue compared to 2013 figures, in its FX trading division its earnings increased 11%.
Friday, 24/10/2014 | 17:53 GMT
by
Adil Siddiqui
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