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News

SEC Chair: Blockchain Could Replace Current Trading Clearing and Settlement

  • The SEC is "closely monitoring the proliferation of this technology and already addressing it in certain contexts. "
Monday, 04/04/2016 | 10:41 GMT by Avi Mizrahi
Regulation

FXPA Seeks FX Exemption From SEC Derivatives Rules

  • The FXPA has submitted a letter to SEC on the use of derivatives by registered investment and business development companies.
Wednesday, 30/03/2016 | 13:14 GMT by Finance Magnates Staff
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
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
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
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
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